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Enforcement Action

 
Action Date Enforcement Actionsort descending Licensee or Regulated Person
3 Dec 2013 Cease and Desist Order Kent Capital Partners Limited
26 Feb 2013 Cease and Desist Order UPME Group Ltd.
2 May 2013 Cease and Desist Order Landora Investing Ltd.
7 Aug 2014 Cease and Desist Order Concise Investments Limited
4 Oct 2013 Revocation of License Moorgate Insurance Company Limited
28 Feb 2013 Revocation of License Universal Highland Assurance Company Limited
15 Feb 2017 Directive ABM CORPORATE SERVICES, LTD.
25 Jan 2013 Directive Global Property Growth & Income REITS Fund Inc.
15 Aug 2011 Directive Aliquot Gold & Precious Metals Equities Fund Inc.
15 Aug 2011 Directive Next 11 Emerging Fund Inc.
15 Aug 2011 Directive Intelligent Portfolio (IQ-Asset Allocation) Inc.
25 Jan 2013 Directive Consistent Return (Cash Management) Fund Inc.
15 Aug 2011 Directive Porcupine Global Macro Plus Inc.
10 Sep 2012 Directive Lemma Europe Insurance Company Limited
10 Dec 2012 Directive Collection of Modern Art Inc.

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