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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
15 Aug 2011 Directive World Index Growth and Income Fund Inc.
4 Oct 2011 Warning Letter Acacia Capital Management Inc
3 Jun 2014 Warning Letter Quam Asset Management (BVI) Ltd.
30 Nov 2015 Administrative Penalty $20,000.00 MCNAMARA CORPORATE SERVICES LIMITED
20 Sep 2013 Lifting of Directive Emerging Markets Growth And Income Fund Inc.
7 Jul 2017 Administrative Penalty $11,000.00 CASTLESTONE MANAGEMENT INCORPORATED
20 Dec 2011 Appointment of Examiner Aliquot Gold Bullion Inc.
20 Aug 2013 Administrative Penalty $13,000.00 Shirley Trust Company Limited
10 Dec 2012 Administrative Penalty $20,500.00 Mossack Fonseca & Co. (BVI) Ltd.
16 Feb 2017 Administrative Penalty $25,000.00 Galloway Capital Management Ltd.
10 Dec 2012 Directive Collection of Modern Art Inc.
17 Dec 2014 Warning Letter Amicorp B.V.I. Limited
29 Jun 2011 Administrative Penalty $3,000.00 Stafford Insurance Ltd
24 Feb 2015 Administrative Penalty $25,000.00 Newhaven Corporate Services (B.V.I.) Limited
19 Dec 2014 Warning Letter Hamilton Trust Management Company Limited

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