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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Personsort ascending
01/25/2013 - 00:00 Directive Emerging Markets Growth And Income Fund Inc.
09/20/2013 - 00:00 Lifting of Directive Emerging Markets Growth And Income Fund Inc.
08/15/2011 - 00:00 Directive Emerging Markets Growth And Income Fund Inc.
12/04/2017 - 00:00 Public Statement ELEUTHERA INSURANCE LIMITED
03/31/2017 - 00:00 Revocation of a Licence Eleuthera Insurance Limited
12/22/2016 - 00:00 Administrative Penalty $460.00 Eastern European Special Situations Fund Ltd.
12/22/2016 - 00:00 Administrative Penalty $580.00 Eastern European Recovery Fund Ltd.
12/22/2016 - 00:00 Administrative Penalty $580.00 Eastern European Recovery Fund Ltd.
07/04/2017 - 00:00 Administrative Penalties $20,000.00 EAST ASIA CORPORATE SERVICES (B.V.I.) LIMITED
11/21/2016 - 00:00 Administrative Penalty $1,520.00 Eagle Protection Insurance Company Limited
09/02/2017 - 00:00 Administrative Penalty $2,000.00 EAGLE CONSTELLATION FUND, LTD.
09/09/2011 - 00:00 Administrative Penalty $750.00 DW Trustees (BVI) Limited
11/08/2011 - 00:00 Warning Letter Drake Fund Advisors Ltd
09/30/2013 - 00:00 Warning Letter Dolphin Capital Partners Limited
12/22/2016 - 00:00 Administrative Penalty $310.00 DEVONSHIRE FUNDS LTD.

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