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Enforcement Action

 
Action Date Enforcement Actionsort descending Licensee or Regulated Person
6 Mar 2014 Administrative Penalty $6,000.00 UFG Wealth Management Limited
13 Dec 2016 Administrative Penalty $6,000.00 WISE TRAIN LIMITED
9 Sep 2011 Administrative Penalty $750.00 DW Trustees (BVI) Limited
16 Feb 2017 Administrative Penalty $3,500.00 Mandarin Offshore L.P.
16 Feb 2017 Administrative Penalty $3,500.00 Collectible Cars Investment Fund Ltd.
2 Sep 2017 Administrative Penalty $3,500.00 WPC Fund Ltd.
2 Sep 2017 Administrative Penalty $3,500.00 Brazil Real Estate Ltd. formerly Brazil Real Estate Fund Ltd.
16 Feb 2017 Administrative Penalty $3,500.00 REAL EAST FUND LTD.
16 Feb 2017 Administrative Penalty $3,500.00 The Opportunity Art Fund Ltd.
16 Feb 2017 Administrative Penalty $3,500.00 Orionis Fund Ltd. formerly Rig II Fund Ltd
29 Jun 2011 Administrative Penalty $3,500.00 Rosebank Limited
16 Feb 2017 Administrative Penalty $3,500.00 Mediterranean Investment Fund SPC Limited
2 Sep 2017 Administrative Penalty $3,500.00 3MF Artemis, Ltd. formerly 3MF Artemis Fund (BVI) Ltd.
16 Feb 2017 Administrative Penalty $3,500.00 Toro Participations Limited formerly THE TORO FUND LIMITED
20 Jan 2017 Administrative Penalty $3,500.00 Sphera Fund-Corporate L.P.

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