Enforcement Action

Action Date	Enforcement Action	Licensee or Regulated Person
08/15/2011 - 00:00	Directive	Emerging Markets Growth And Income Fund Inc.
02/15/2017 - 00:00	Directive	Newhaven Trustees (BVI) Limited
08/15/2011 - 00:00	Directive	Aliquot Gold & Precious Metals Equities Fund Inc.
02/15/2017 - 00:00	Directive	HAVELET TRUST COMPANY (BVI) LIMITED
08/15/2011 - 00:00	Directive	Porcupine Absolute Return Fund Inc.
02/15/2017 - 00:00	Directive	ABM CORPORATE SERVICES, LTD.
02/15/2017 - 00:00	Directive	Global Corporate Consultants Group Inc.
01/25/2013 - 00:00	Directive	Next 11 Emerging Fund Inc.
12/10/2012 - 00:00	Directive	Collection of Modern Art Inc.
01/25/2013 - 00:00	Directive	Intelligent Portfolio (IQ-Asset Allocation) Inc.
05/27/2013 - 00:00	Administrative Penalty $5,000.00	Sinclair Trust & Finance S.A.
06/29/2011 - 00:00	Administrative Penalty $5,000.00	Victory Life & Pension Assurance Company Limited
09/19/2011 - 00:00	Administrative Penalty $5,000.00	IAI Underwriting Ltd
05/18/2011 - 00:00	Administrative Penalty $5,000.00	NCB Investment Services Company
06/29/2011 - 00:00	Administrative Penalty $5,000.00	Stafford Insurance Ltd

Action Date