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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Personsort descending
08/15/2011 - 00:00 Directive Concerto Alternative Alpha Inc.
01/25/2013 - 00:00 Directive Concerto Alternative Alpha Inc.
09/20/2013 - 00:00 Lifting of Directive Concerto Alternative Alpha Inc.
05/11/2014 - 00:00 Public Statement Concise Investments Limited
08/07/2014 - 00:00 Cease and Desist Order Concise Investments Limited
12/20/2011 - 00:00 Appointment of Examiner Consistent Return (Cash Management Fund) Inc.
01/25/2013 - 00:00 Directive Consistent Return (Cash Management) Fund Inc.
09/20/2013 - 00:00 Lifting of Directive Consistent Return (Cash Management) Fund Inc.
08/15/2011 - 00:00 Directive Consistent Return (Cash Management) Fund Inc.
06/10/2016 - 00:00 Administrative Penalty $8,750.00 Copernic Global Fund Limited
02/15/2017 - 00:00 Directive COVERDALE TRUST SERVICES LIMITED
08/21/2015 - 00:00 Administrative Penalty $10,000.00 COVERDALE TRUST SERVICES LIMITED
12/17/2014 - 00:00 Warning Letter CR (BVI) Limited
11/17/2015 - 00:00 Administrative Penalty $15,000.00 CR (BVI) LIMITED
02/17/2017 - 00:00 Administrative Penalty $1,750.00 Craigmuir Authorised Representative Limited

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