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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
12/22/2016 Administrative Penalty $1,100.00 STRATEGIC ACACIA LIMITED
12/22/2016 Administrative Penalty $8,000.00 MJM INTERNATIONAL LTD.
12/22/2016 Administrative Penalty $580.00 Eastern European Recovery Fund Ltd.
12/22/2016 Administrative Penalty $580.00 Eastern European Recovery Fund Ltd.
12/22/2016 Administrative Penalty $290.00 Cathedral Fund SPC Limited
12/22/2016 Administrative Penalty $460.00 Eastern European Special Situations Fund Ltd.
12/22/2016 Administrative Penalty $580.00 Cathedral Investment Management Company Limited
12/22/2016 Administrative Penalty $310.00 DEVONSHIRE FUNDS LTD.
12/22/2016 Administrative Penalty $5,200.00 Kalix Fund Limited
12/13/2016 Administrative Penalty $2,250.00 Crestwood Capital International, Ltd.
12/13/2016 Administrative Penalty $2,250.00 Crestwood Capital Master Fund, Ltd.
12/13/2016 Administrative Penalty $6,000.00 WISE TRAIN LIMITED
12/13/2016 Administrative Penalty $7,350.00 Alwaha Fund Limited
12/13/2016 Administrative Penalty $7,500.00 Prolifico Fund Management Ltd.
11/21/2016 Administrative Penalty $1,520.00 Eagle Protection Insurance Company Limited

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