Enforcement Action

Enforcement Action: Warning Letter
Name of Entity: AG OFFSHORE CONVERTIBLES LTD.
Date of Action: 02/09/2015

A warning was issued to AG OFFSHORE CONVERTIBLES LTD. for its contravention of regulation 7(5) of the Mutual Funds Regulations, 2010, for failing to notify the Commission of the appointment of SEI Global Services, Inc. as administrator within the period prescribed by the Regulations.