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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Personsort descending
20 Sep 2013 Lifting of Directive Concerto Alternative Alpha Inc.
15 Aug 2011 Directive Concerto Alternative Alpha Inc.
25 Jan 2013 Directive Concerto Alternative Alpha Inc.
11 May 2014 Public Statement Concise Investments Limited
7 Aug 2014 Cease and Desist Order Concise Investments Limited
20 Dec 2011 Appointment of Examiner Consistent Return (Cash Management Fund) Inc.
25 Jan 2013 Directive Consistent Return (Cash Management) Fund Inc.
20 Sep 2013 Lifting of Directive Consistent Return (Cash Management) Fund Inc.
15 Aug 2011 Directive Consistent Return (Cash Management) Fund Inc.
10 Jun 2016 Administrative Penalty $8,750.00 Copernic Global Fund Limited
15 Feb 2017 Directive COVERDALE TRUST SERVICES LIMITED
21 Aug 2015 Administrative Penalty $10,000.00 COVERDALE TRUST SERVICES LIMITED
17 Dec 2014 Warning Letter CR (BVI) Limited
17 Nov 2015 Administrative Penalty $15,000.00 CR (BVI) LIMITED
17 Feb 2017 Administrative Penalty $1,750.00 Craigmuir Authorised Representative Limited

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