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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
06/29/2011 - 00:00 Administrative Penalty $4,000.00 Crouch Services Ltd
09/23/2016 - 00:00 Administrative Penalty $6,100.00 BRAZIL ADVANCED LTD. formerly BRAZIL ADVANCED INVESTMENT FUND LTD
01/25/2013 - 00:00 Directive World Index Growth and Income Fund Inc.
02/15/2017 - 00:00 Directive ABACUS TRUST AND MANAGEMENT SERVICES LIMITED
12/13/2016 - 00:00 Administrative Penalty $7,500.00 Prolifico Fund Management Ltd.
02/19/2013 - 00:00 Cease and Desist Order Master Polar Limited
12/22/2016 - 00:00 Administrative Penalty $460.00 Eastern European Special Situations Fund Ltd.
09/16/2014 - 00:00 Revocation of Licence Castlegate Insurance Company Ltd.
08/15/2011 - 00:00 Directive Aliquot Commodity Fund Inc.
06/27/2012 - 00:00 Public Statement Settlement Casualty Corp.
02/15/2017 - 00:00 Directive MOSSACK FONSECA & CO (B.V.I.) LTD.
12/15/2014 - 00:00 Warning Letter G.S.L. Law & Consulting Limited
02/16/2017 - 00:00 Administrative Penalty $3,500.00 Collectible Cars Investment Fund Ltd.
12/13/2016 - 00:00 Administrative Penalty $7,350.00 Alwaha Fund Limited
07/22/2015 - 00:00 Administrative Penalty $4,000.00 St. Lawrence Trading Inc.

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