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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
20 Sep 2013 Lifting of Directive World Index Growth and Income Fund Inc.
28 Mar 2014 Administrative Penalty $8,000.00 Capitalworks Investment Management International Advisors Limited
4 Dec 2013 Warning Letter Isocrates Limited
23 Jul 2013 Appointment of Qualified Person Shirley Trust Company Limited
25 Jan 2013 Directive Aliquot Gold Bullion Inc.
4 Jul 2017 Administrative Penalties $20,000.00 EAST ASIA CORPORATE SERVICES (B.V.I.) LIMITED
25 Jan 2013 Directive Collection of Modern Art Inc.
15 Feb 2017 Directive MOORE STEPHENS INTERNATIONAL SERVICES (BVI) LIMITED
20 Sep 2013 Lifting of Directive Systematic Growth Fund Inc.
14 Apr 2015 Public Statement Armatura Insurance Company Limited
6 Dec 2012 Revocation of Licenses/Certificate Great Oak Insurance Company Limited
25 Jan 2013 Directive Porcupine Absolute Return Fund Inc.
27 Jun 2012 Public Statement Hove Insurance Company Limited
3 Jun 2014 Warning Letter Premier Financial Consultants Limited
27 Oct 2016 Warning Letter Abacus Trust and Management Services Limited

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