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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
20 Dec 2012 Administrative Penalty $2,000.00 Inter-Continental Trust Limited
15 Apr 2016 Administrative Penalty $1,500.00 Analytical Investments Advisors Ltd.
9 Jun 2012 Directive Creque's Insurance Agency Limited
29 Jun 2011 Administrative Penalty $5,000.00 Victory Life & Pension Assurance Company Limited
20 Dec 2011 Appointment of Examiner Porcupine Global Macro Plus Incorporated
21 Aug 2015 Administrative Penalty $10,000.00 COVERDALE TRUST SERVICES LIMITED
2 Sep 2017 Administrative Penalty $2,000.00 LJ INVESTMENTS CORP.
3 Jun 2014 Warning Letter Asymmetric Arbitrage, Ltd.
8 Nov 2011 Warning Letter Drake Fund Advisors Ltd
10 Sep 2012 Directive Rosebank Limited
1 Jul 2013 Cease and Desist Order Mika Holdings Inc.
18 Oct 2012 Directive BGL Private Equity (BVI) Limited
10 Jun 2011 Administrative Penalty $4,000.00 FH Corporate Services Ltd
30 Nov 2015 Appointment of Joint Liquidators AAUG Insurance Co. Ltd.
23 Sep 2016 Warning Letter SOFAER CAPITAL INC.

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