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Enforcement Action

 
Action Date Enforcement Actionsort descending Licensee or Regulated Person
25 Jan 2013 Directive Emerging Markets Growth And Income Fund Inc.
15 Aug 2011 Directive Aliquot Gold & Precious Metals Equities Fund Inc.
25 Jan 2013 Directive Consistent Return (Cash Management) Fund Inc.
25 Jan 2013 Directive Porcupine Absolute Return Fund Inc.
15 Feb 2017 Directive ABM CORPORATE SERVICES, LTD.
15 Nov 2011 Administrative Penalty $5,000.00 Shirley Trust Company Limited
23 Feb 2016 Administrative Penalty $5,000.00 Glenn Sylvester Harrigan of CCP FINANCIAL CONSULTANTS LIMITED
27 May 2013 Administrative Penalty $5,000.00 Sinclair Trust & Finance S.A.
31 Jan 2013 Administrative Penalty $5,000.00 The Insurance Store Limited
20 Oct 2015 Administrative Penalty $5,000.00 ALEMAN, CORDERO, GALINDO & LEE TRUST (BVI) LIMITED
19 Sep 2011 Administrative Penalty $5,000.00 IAI Underwriting Ltd
29 Jun 2011 Administrative Penalty $5,000.00 Victory Life & Pension Assurance Company Limited
18 May 2011 Administrative Penalty $5,000.00 NCB Investment Services Company
29 Jun 2011 Administrative Penalty $5,000.00 Stafford Insurance Ltd
14 Apr 2015 Public Statement Armatura Insurance Company Limited

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