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Enforcement Action

 
Action Date Enforcement Actionsort ascending Licensee or Regulated Person
16 Aug 2012 Administrative Penalty $4,000.00 Bunge Investment Management Limited
22 Jul 2015 Administrative Penalty $4,000.00 St. Lawrence Trading Inc.
29 Jun 2011 Administrative Penalty $4,000.00 State Mutual Insurance Co. Ltd
10 Jun 2011 Administrative Penalty $4,000.00 FH Corporate Services Ltd
22 Mar 2012 Revocation of Licenses/Certificate Old Union Growth Fund Ltd
7 Jun 2012 Revocation of Licenses/Certificate Western Preferred Life Assurance Limited
13 Jul 2012 Revocation of Licenses/Certificate BASIS Fund Limited
22 Mar 2012 Revocation of Licenses/Certificate K2 Emerging Market Fund Limited
6 Dec 2012 Revocation of Licenses/Certificate Crouch Services Ltd
6 Dec 2012 Revocation of Licenses/Certificate AMCA Insurance & Reinsurance Company Ltd
22 Mar 2012 Revocation of Licenses/Certificate New Thames Africa Fund Ltd
13 Jun 2012 Revocation of Licenses/Certificate Catal Insurance Company Limited
6 Dec 2012 Revocation of Licenses/Certificate Stafford Insurance Ltd
22 Mar 2012 Revocation of Licenses/Certificate Lazars International Fund Limited
22 Mar 2012 Revocation of Licenses/Certificate F3 Ethical Developing Fund Limited

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