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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
25 Jan 2013 Directive Intelligent Portfolio (IQ-Asset Allocation) Inc.
13 May 2013 Administrative Penalty $175,000.00 ABM Corporate Services Ltd.
13 May 2013 Cease and Desist Order Priory Investments Services Ltd.
17 Mar 2017 Revocation of a Licence Dearborn National Life Insurance Company
21 Mar 2016 Directive Castlestone Management Incorporated
16 Feb 2017 Administrative Penalty $3,500.00 Mediterranean Investment Fund SPC Limited
27 Jun 2012 Public Statement AMCA Insurance & Reinsurance Company Ltd
20 Jan 2017 Administrative Penalty $3,500.00 Sphera Fund-Corporate L.P.
15 Feb 2017 Directive Global Corporate Consultants Group Inc.
20 Dec 2011 Appointment of Examiner Consistent Return (Cash Management Fund) Inc.
25 Jan 2013 Directive Next 11 Emerging Fund Inc.
14 Apr 2015 Public Statement Bayswater Insurance Management Limited
6 Mar 2014 Administrative Penalty $6,000.00 UFG Wealth Management Limited
31 Mar 2017 Administrative Penalties $25,000.00 BLENHEIM INSURANCE MANAGEMENT (BVI) LIMITED
29 Mar 2014 Administrative Penalty $2,000.00 VSM International Limited

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