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Enforcement Action

 
Action Date Enforcement Actionsort descending Licensee or Regulated Person
12/03/2013 - 00:00 Cease and Desist Order Granite Global Insurance Company Limited
04/06/2013 - 00:00 Cease and Desist Order Nova Trade Financial Holdings Ltd.
05/03/2014 - 00:00 Cease and Desist Order Avia Investment Group Limited
05/13/2013 - 00:00 Cease and Desist Order Axis Trading Group Incorporated
08/04/2013 - 00:00 Cease and Desist Order Blackstar Capital Management Limited
04/06/2013 - 00:00 Cease and Desist Order WBS Holding Ltd.
04/06/2013 - 00:00 Cease and Desist Order Forex Place Ltd.
08/27/2013 - 00:00 Cease and Desist Order Sovereign International Worldwide Limited
02/19/2013 - 00:00 Cease and Desist Order Master Polar Limited
02/28/2013 - 00:00 Revocation of License Universal Highland Assurance Company Limited
10/04/2013 - 00:00 Revocation of License Moorgate Insurance Company Limited
01/25/2013 - 00:00 Directive Emerging Markets Growth And Income Fund Inc.
02/15/2017 - 00:00 Directive SR Corporate Services Limited
01/25/2013 - 00:00 Directive Aliquot Gold & Precious Metals Equities Fund Inc.
01/25/2013 - 00:00 Directive Systematic Growth Fund Inc.

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