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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
14 Apr 2015 Public Statement Bayswater Insurance Management Limited
4 May 2013 Public Statement Universal Highland Assurance Company Limited
30 May 2012 Warning Letter Plexus Global Asset Management Limited
22 Dec 2016 Administrative Penalty $5,200.00 Kalix Fund Limited
27 Jun 2012 Public Statement Crouch Services Ltd
16 Aug 2012 Administrative Penalty $4,000.00 Bunge Investment Management Limited
15 Dec 2014 Warning Letter Caledonian Fund Services (BVI) Ltd.
20 Sep 2013 Lifting of Directive World Index Growth and Income Fund Inc.
15 Feb 2017 Directive ABM CORPORATE SERVICES, LTD.
25 Feb 2015 Administrative Penalty $15,000.00 Proservices Limited
19 Dec 2014 Warning Letter McNamara Corporate Services Limited
25 Jan 2013 Directive Emerging Markets Growth And Income Fund Inc.
27 May 2016 Lifting of Directive Castlestone Management Incorporated
15 Aug 2011 Directive Aliquot Gold & Precious Metals Equities Fund Inc.
23 Jul 2013 Appointment of Qualified Person Shirley Trust Company Limited

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