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Plexus Global Asset Management Limited

 
Action Date:
Wednesday, 30 May, 2012
Category:
Industry Type:
Enforcement Action:
Enforcement Summary:
A warning was issued to Plexus Global Asset Management Limited for its contravention of section 22 (1) of the Mutual Funds Act, 1996 (repealed) by providing services without acquiring the requisite licence to do so; and for its contravention of section 4 (1) of the Securities and Investment Business Act, 2010 by providing services after the Securities and Investment Business Act, 2010 commencement date without having submitted an application for licensing during the specified period in accordance with paragraph 2 (b) of Schedule 8 of the Transitional Provisions of the Securities and Investment Business Act, 2010.
Matter ID:
INV0525/078