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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Personsort descending
29 Mar 2014 Administrative Penalty $2,000.00 VSM International Limited
6 Apr 2013 Cease and Desist Order WBS Holding Ltd.
10 May 2015 Fine $4,000.00 Wessex Capital Limited
8 Jun 2012 Public Statement Western Preferred Life Assurance Limited
7 Jun 2012 Revocation of Licenses/Certificate Western Preferred Life Assurance Limited
13 Dec 2016 Administrative Penalty $6,000.00 WISE TRAIN LIMITED
3 Mar 2017 Administrative Penalty $49,000 WORLD ARROW LIMITED
15 Aug 2011 Directive World Index Growth and Income Fund Inc.
25 Jan 2013 Directive World Index Growth and Income Fund Inc.
20 Sep 2013 Lifting of Directive World Index Growth and Income Fund Inc.
2 Sep 2017 Administrative Penalty $3,500.00 WPC Fund Ltd.

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