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Enforcement Action

 
Action Date Enforcement Actionsort descending Licensee or Regulated Person
08/16/2012 - 00:00 Administrative Penalty $4,000.00 Bunge Investment Management Limited
06/29/2011 - 00:00 Administrative Penalty $6,000.00 Vessia Insurance Company Limited
10/16/2014 - 00:00 Administrative Penalty $6,000.00 Mint Capital Advisers Limited
03/06/2014 - 00:00 Administrative Penalty $6,000.00 UFG Wealth Management Limited
12/13/2016 - 00:00 Administrative Penalty $6,000.00 WISE TRAIN LIMITED
09/09/2011 - 00:00 Administrative Penalty $750.00 DW Trustees (BVI) Limited
02/16/2017 - 00:00 Administrative Penalty $3,500.00 The Opportunity Art Fund Ltd.
02/16/2017 - 00:00 Administrative Penalty $3,500.00 REAL EAST FUND LTD.
06/29/2011 - 00:00 Administrative Penalty $3,500.00 Rosebank Limited
09/02/2017 - 00:00 Administrative Penalty $3,500.00 3MF Artemis, Ltd. formerly 3MF Artemis Fund (BVI) Ltd.
02/16/2017 - 00:00 Administrative Penalty $3,500.00 LUNOM VICTOIRE FUND LTD.
02/16/2017 - 00:00 Administrative Penalty $3,500.00 Toro Participations Limited formerly THE TORO FUND LIMITED
02/16/2017 - 00:00 Administrative Penalty $3,500.00 Mandarin Offshore L.P.
01/20/2017 - 00:00 Administrative Penalty $3,500.00 Sphera Fund-Corporate L.P.
02/16/2017 - 00:00 Administrative Penalty $3,500.00 Collectible Cars Investment Fund Ltd.

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