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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
4 Aug 2013 Administrative Penalty $14,000.00 Commonwealth Trust Limited
27 Jun 2012 Public Statement Great Oak Insurance Company Limited
22 Mar 2012 Revocation of Licenses/Certificate Old Union Growth Fund Ltd
20 Sep 2013 Lifting of Directive Porcupine Absolute Return Fund Inc.
3 Jun 2015 Public Statement Avia Investment Group Limited
15 Aug 2011 Directive World Index Growth and Income Fund Inc.
15 Feb 2017 Directive J.S. ARCHIBALD TRUST SERVICES LIMITED
12 Nov 2013 Appointment of Examiner AAUG Insurance Co. Ltd.
20 Aug 2013 Administrative Penalty $13,000.00 Shirley Trust Company Limited
10 Sep 2012 Directive Caribbean Insurers Limited
22 Dec 2016 Administrative Penalty $580.00 Eastern European Recovery Fund Ltd.
10 May 2016 Administrative Penalty $7,500.00 SPECTRUM GALAXY FUND LTD.
13 Jun 2012 Revocation of Licenses/Certificate Catal Insurance Company Limited
11 May 2014 Public Statement FFAM Inc.
20 Aug 2013 Administrative Penalty $500.00 Mr. Ernesto F. Shirley as Director of Shirley Trust Company Limited

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