Secondary Menu

You are here

Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
15 Apr 2016 Administrative Penalty $330.00 GABELLI INTERNATIONAL LIMITED
25 Jan 2013 Directive Aliquot Agriculture Fund Inc.
29 Jun 2011 Administrative Penalty $5,000.00 Stafford Insurance Ltd
22 Mar 2012 Revocation of Licenses/Certificate New Thames Africa Fund Ltd
17 Dec 2014 Warning Letter CCS Trustees Limited
4 Dec 2017 Revocation of a Licence HALLIDAY INSURANCE AGENCY LIMITED
15 Aug 2011 Directive Aliquot Precious Metals Inc.
20 Sep 2013 Lifting of Directive Systematic Growth Fund Inc.
20 May 2015 Public Statement Oriental Conrad Limited
26 Sep 2013 Administrative Penalty $100,000.00 Commonwealth Trust Limited
12 Jan 2014 Warning Letter Intac (BVI) International Investments Limited
17 Mar 2017 Administrative Penalty $10,000.00 ARAMO CORPORATE SERVICES INC.
1 Jul 2013 Cease and Desist Order Universal Investments (International) Limited
25 Jan 2013 Directive Porcupine Absolute Return Fund Inc.
17 Feb 2017 Administrative Penalty $1,750.00 Craigmuir Authorised Representative Limited

Pages