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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
20 Aug 2013 Administrative Penalty $13,000.00 Shirley Trust Company Limited
20 Sep 2013 Lifting of Directive Aliquot Gold Bullion Inc.
22 Dec 2016 Administrative Penalty $580.00 Eastern European Recovery Fund Ltd.
20 Sep 2013 Lifting of Directive Collection of Modern Art Inc.
5 Mar 2013 Public Statement Moorgate Insurance Company Limited
15 Aug 2011 Directive Systematic Growth Fund Inc.
28 Feb 2015 Revocation of Licence Armatura Insurance Company Limited
27 Jun 2012 Public Statement Great Oak Insurance Company Limited
20 Sep 2013 Lifting of Directive Porcupine Absolute Return Fund Inc.
28 Feb 2015 Revocation of Licence Bayswater Insurance Management Limited
19 Sep 2011 Administrative Penalty $5,000.00 IAI Underwriting Ltd
16 Feb 2017 Administrative Penalty $3,000.00 Prime Star Equities Offshore, L.P.
9 Oct 2012 Cease & Desist Order Abadi & Co. Securities Ltd.
9 Jun 2012 Directive Creque's Insurance Agency Limited
11 May 2014 Public Statement Castlegate Insurance Company, Ltd.Castlegate Insurance Company, Ltd.

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