You are here

Enforcement Action

 
Action Datesort descending Enforcement Action Licensee or Regulated Person
12/22/2016 - 00:00 Administrative Penalty $8,000.00 MJM INTERNATIONAL LTD.
12/22/2016 - 00:00 Administrative Penalty $1,100.00 STRATEGIC ACACIA LIMITED
12/22/2016 - 00:00 Administrative Penalty $7,200.00 LYNX ARBITRAGE FUND LIMITED
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.
12/22/2016 - 00:00 Administrative Penalty $290.00 Cathedral Fund SPC 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 Cathedral Investment Management Company Limited
12/22/2016 - 00:00 Administrative Penalty $5,200.00 Kalix Fund Limited
12/22/2016 - 00:00 Administrative Penalty $310.00 DEVONSHIRE FUNDS LTD.
01/13/2017 - 00:00 Administrative Penalty $3,000.00 Craigmuir Authorised Representative Limited
01/13/2017 - 00:00 Administrative Penalty $2,000.00 Craigmuir Authorised Representative Limited
01/20/2017 - 00:00 Administrative Penalty $3,500.00 Sphera Fund-Corporate L.P.
02/15/2017 - 00:00 Directive TMF Corporate Services (BVI) Limited
02/15/2017 - 00:00 Directive ABM CORPORATE SERVICES, LTD.

Pages