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Enforcement Action

 
Action Date Enforcement Actionsort descending Licensee or Regulated Person
13 Dec 2016 Administrative Penalty $7,350.00 Alwaha Fund Limited
15 Apr 2016 Administrative Penalty $900.00 ARBITRAL INTERNATIONAL CORPORATION
31 Mar 2017 Administrative Penalties $25,000.00 BLENHEIM INSURANCE MANAGEMENT (BVI) LIMITED
23 Sep 2016 Administrative Penalty $6,100.00 BRAZIL ADVANCED LTD. formerly BRAZIL ADVANCED INVESTMENT FUND LTD
13 Dec 2016 Administrative Penalty $2,250.00 Crestwood Capital International, Ltd.
13 Dec 2016 Administrative Penalty $2,250.00 Crestwood Capital Master Fund, Ltd.
31 Mar 2017 Revocation of a Licence Eleuthera Insurance Limited
4 Dec 2017 Revocation of a Licence HALLIDAY INSURANCE AGENCY LIMITED
17 Mar 2017 Revocation of a Licence Dearborn National Life Insurance Company
22 Dec 2016 Administrative Penalty $310.00 DEVONSHIRE FUNDS LTD.
21 Nov 2016 Administrative Penalty $1,520.00 Eagle Protection Insurance Company Limited
4 Jul 2017 Administrative Penalties $20,000.00 EAST ASIA CORPORATE SERVICES (B.V.I.) LIMITED
22 Dec 2016 Administrative Penalty $460.00 Eastern European Special Situations Fund Ltd.
15 Apr 2016 Administrative Penalty $330.00 GABELLI ASSOCIATES LIMITED
15 Apr 2016 Administrative Penalty $330.00 GABELLI INTERNATIONAL LIMITED

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