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Enforcement Action

 
Action Datesort descending Enforcement Action Licensee or Regulated Person
09/20/2013 - 00:00 Lifting of Directive Aliquot Agriculture Fund Inc.
09/20/2013 - 00:00 Lifting of Directive World Index Growth and Income Fund Inc.
09/20/2013 - 00:00 Lifting of Directive Balanced Opportunity Inc.
09/20/2013 - 00:00 Lifting of Directive Porcupine Absolute Return Fund Inc.
09/20/2013 - 00:00 Lifting of Directive Emerging Markets Growth And Income Fund Inc.
09/20/2013 - 00:00 Lifting of Directive Aliquot Commodity Fund Inc.
09/20/2013 - 00:00 Lifting of Directive Concerto Alternative Alpha Inc.
09/20/2013 - 00:00 Lifting of Directive Next 11 Emerging Fund Inc.
09/20/2013 - 00:00 Lifting of Directive Intelligent Portfolio (IQ-Asset Allocation) Inc.
09/20/2013 - 00:00 Lifting of Directive Porcupine Global Macro Plus Inc.
09/20/2013 - 00:00 Lifting of Directive Aliquot Gold & Precious Metals Equities Fund Inc.
09/26/2013 - 00:00 Administrative Penalty $2,500.00 Orbis Services Limited
09/26/2013 - 00:00 Administrative Penalty $100,000.00 Commonwealth Trust Limited
09/26/2013 - 00:00 Administrative Penalty $2,500.00 Caribbean Insurers Marine Limited
09/27/2013 - 00:00 Administrative Penalty $8,500.00 Abacus Trust and Management Services Limited

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