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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
9 Dec 2013 Revocation of Licence Beverly Insurance Company Limited
23 Feb 2016 Administrative Penalty $580.00 Value Partners Private Equity Limited
2 Jul 2017 Administrative Penalty $1,160.00 : TMF Authorised Representative (BVI) Ltd.
25 Jan 2013 Directive Porcupine Global Macro Plus Inc.
18 Dec 2015 Administrative Penalty $26,000.00 Laureola Advisors Inc.
17 Mar 2017 Revocation of a Licence Dearborn National Life Insurance Company
29 Aug 2013 Warning Letter Caribbean Alliance Insurance Company Limited
9 Feb 2015 Warning Letter AG OFFSHORE CONVERTIBLES LTD.
16 Feb 2017 Administrative Penalty $3,500.00 REAL EAST FUND LTD.
17 Mar 2015 Administrative Penalty $9,000.00 MG Management Services Limited
22 Mar 2012 Revocation of Licenses/Certificate F3 Ethical Developing Fund Limited
20 May 2015 Public Statement Cathay Asia Limited
15 Aug 2011 Directive Aliquot Gold Bullion Inc.
2 Jun 2018 Public Statement Smiths Gore and Son’s Reserve Loan Company
20 Aug 2013 Administrative Penalty $500.00 Mr. Barry J. Miller as Director of Shirley Trust Company Limited

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