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Enforcement Action

 
Action Datesort descending Enforcement Action Licensee or Regulated Person
13 Dec 2016 Administrative Penalty $7,500.00 Prolifico Fund Management Ltd.
22 Dec 2016 Administrative Penalty $1,100.00 STRATEGIC ACACIA LIMITED
22 Dec 2016 Administrative Penalty $7,200.00 LYNX ARBITRAGE FUND LIMITED
22 Dec 2016 Administrative Penalty $580.00 Eastern European Recovery Fund Ltd.
22 Dec 2016 Administrative Penalty $580.00 Eastern European Recovery Fund Ltd.
22 Dec 2016 Administrative Penalty $460.00 Eastern European Special Situations Fund Ltd.
22 Dec 2016 Administrative Penalty $5,200.00 Kalix Fund Limited
22 Dec 2016 Administrative Penalty $310.00 DEVONSHIRE FUNDS LTD.
22 Dec 2016 Administrative Penalty $290.00 Cathedral Fund SPC Limited
22 Dec 2016 Administrative Penalty $580.00 Cathedral Investment Management Company Limited
22 Dec 2016 Administrative Penalty $8,000.00 MJM INTERNATIONAL LTD.
13 Jan 2017 Administrative Penalty $3,000.00 Craigmuir Authorised Representative Limited
13 Jan 2017 Administrative Penalty $2,000.00 Craigmuir Authorised Representative Limited
20 Jan 2017 Administrative Penalty $3,500.00 Sphera Fund-Corporate L.P.
15 Feb 2017 Directive MOORE STEPHENS INTERNATIONAL SERVICES (BVI) LIMITED

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