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Enforcement Action

 
Action Date Enforcement Actionsort ascending Licensee or Regulated Person
3 Mar 2017 Administrative Penalty $49,000 WORLD ARROW LIMITED
22 Dec 2016 Administrative Penalty $1,100.00 STRATEGIC ACACIA LIMITED
23 Feb 2016 Administrative Penalty $680.00 Southagus Fund Ltd
23 Feb 2016 Administrative Penalty $680.00 Southagus Fund Ltd.
17 Feb 2017 Administrative Penalty $1,400.00 Reinsurance Solutions Ltd.
17 Mar 2015 Administrative Penalty $9,000.00 MG Management Services Limited
22 Dec 2016 Administrative Penalty $7,200.00 LYNX ARBITRAGE FUND LIMITED
20 Nov 2015 Administrative Penalty $980.00 Lumix Agrodirect Fund Ltd.
23 Sep 2016 Administrative Penalty $980.00 SEABOARD FUND LIMITED
18 Dec 2015 Administrative Penalty $26,000.00 Laureola Advisors Inc.
22 Dec 2016 Administrative Penalty $5,200.00 Kalix Fund Limited
15 Apr 2016 Administrative Penalty $330.00 GABELLI ASSOCIATES LIMITED
15 Apr 2016 Administrative Penalty $330.00 GABELLI INTERNATIONAL LIMITED
22 Dec 2016 Administrative Penalty $460.00 Eastern European Special Situations Fund Ltd.
4 Jul 2017 Administrative Penalties $20,000.00 EAST ASIA CORPORATE SERVICES (B.V.I.) LIMITED

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