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Enforcement Action

 
Action Date Enforcement Actionsort descending Licensee or Regulated Person
4 Oct 2011 Warning Letter Sofaer Administration Limited
17 Dec 2014 Warning Letter CR (BVI) Limited
8 Nov 2011 Warning Letter Drake Fund Advisors Ltd
4 Oct 2011 Warning Letter Sofaer Capital Inc
23 Sep 2016 Warning Letter SOFAER CAPITAL INC.
9 Oct 2012 Cease & Desist Order Abadi & Co. Securities Ltd.
31 Dec 2012 Cease & Desist Order Benson Union Limited
17 Mar 2017 Administrative Penalty $10,000.00 ARAMO CORPORATE SERVICES INC.
26 Oct 2015 Administrative Penalty $10,000.00 ARAMO TRUST CO. LIMITED
28 Oct 2015 Administrative Penalty $10,000.00 Sucre & Sucre Trust Limited
27 Dec 2012 Administrative Penalty $10,000.00 MBC Financial Services Ltd.
11 Feb 2015 Administrative Penalty $10,000.00 DANTRUST LIMITED
21 Aug 2015 Administrative Penalty $10,000.00 COVERDALE TRUST SERVICES LIMITED
15 Nov 2013 Administrative Penalty $10,000.00 Alfa Forex Ltd.
13 Jan 2017 Administrative Penalty $3,000.00 Craigmuir Authorised Representative Limited

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