You are here

Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Personsort ascending
02/16/2017 - 00:00 Administrative Penalty $3,000.00 Prime Star Equities Offshore, L.P.
06/03/2014 - 00:00 Warning Letter Premier Financial Consultants Limited
01/05/2014 - 00:00 Administrative Penalty $2,000.00 Premier Assurance Group Ltd.
10/14/2013 - 00:00 Administrative Penalty $205,500.00 Portcullis TrustNet (BVI) Limited
10/14/2013 - 00:00 Administrative Penalty $2,500.00 Portcullis TrustNet (BVI) Limited
09/08/2013 - 00:00 Appointment of Qualified Person Portcullis TrustNet (BVI) Limited
12/20/2011 - 00:00 Appointment of Examiner Porcupine Global Macro Plus Incorporated
09/20/2013 - 00:00 Lifting of Directive Porcupine Global Macro Plus Inc.
08/15/2011 - 00:00 Directive Porcupine Global Macro Plus Inc.
01/25/2013 - 00:00 Directive Porcupine Global Macro Plus Inc.
01/25/2013 - 00:00 Directive Porcupine Absolute Return Fund Inc.
09/20/2013 - 00:00 Lifting of Directive Porcupine Absolute Return Fund Inc.
08/15/2011 - 00:00 Directive Porcupine Absolute Return Fund Inc.
05/30/2012 - 00:00 Warning Letter Plexus Global Asset Management Limited
12/19/2011 - 00:00 Warning Letter Permal Talara Ltd

Pages