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Enforcement Action

 
Action Date Enforcement Actionsort ascending Licensee or Regulated Person
6 Dec 2012 Revocation of Licenses/Certificate Crouch Services 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 F3 Ethical Developing Fund Limited
22 Mar 2012 Revocation of Licenses/Certificate Lazars International Fund Limited
28 Nov 2011 Administrative Penalty $1,750.00 Overseas Management Company Trust (BVI) Ltd
17 Feb 2017 Administrative Penalty $1,750.00 Craigmuir Authorised Representative Limited
3 Aug 2017 Administrative Penalty $1,750.00 Craigmuir Authorised Representative Limited
17 Feb 2017 Administrative Penalty $1,750.00 Craigmuir Authorised Representative Limited
3 Aug 2017 Administrative Penalty $1,750.00 Craigmuir Authorised Representative Limited
23 Jul 2015 Administrative Penalty $1,750.00 Regency Health Ltd.
20 Dec 2011 Appointment of Examiner Aliquot Precious Metals Inc.
20 Dec 2011 Appointment of Examiner Aliquot Agriculture Fund Inc.
20 Dec 2011 Appointment of Examiner Next 11 Emerging Markets Fund Inc.

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