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MPT Asset Management Corp.

 
Enforcement Action
Industry Type:
Investment Business
Enforcement Action:
Warning Letter
Enforcement Summary:
A warning was issued to MPT Asset Management Corp. for its contraventions of sections 11(2) and 11(3)(a) of the Securities and Investment Business Act, 2010 by effecting the transfer of shares and a change in ownership without the Commission's prior written approval.
Matter ID:
INV092013/156