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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
11 Sep 2016 Warning Letter IMARA ASSET MANAGEMENT LIMITED
15 Aug 2011 Directive Systematic Growth Fund Inc.
15 Aug 2011 Directive Balanced Opportunity Inc.
13 Dec 2016 Administrative Penalty $2,250.00 Crestwood Capital International, Ltd.
20 Sep 2013 Lifting of Directive Porcupine Absolute Return Fund Inc.
22 Dec 2016 Administrative Penalty $7,200.00 LYNX ARBITRAGE FUND LIMITED
27 Sep 2013 Administrative Penalty $2,000.00 Abacus Trust and Management Services Limited
15 Aug 2011 Directive World Index Growth and Income Fund Inc.
22 Dec 2016 Administrative Penalty $290.00 Cathedral Fund SPC Limited
20 Sep 2013 Lifting of Directive Global Property Growth & Income REITS Fund Inc.
10 May 2016 Administrative Penalty $7,500.00 SPECTRUM GALAXY FUND LTD.
20 Dec 2011 Appointment of Examiner Next 11 Emerging Markets Fund Inc.
11 Dec 2012 Administrative Penalty $3,000.00 ANT Management (BVI) Ltd.
17 Dec 2014 Warning Letter CR (BVI) Limited
20 Dec 2012 Administrative Penalty $2,000.00 Inter-Continental Trust Limited

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