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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
22 Dec 2016 Administrative Penalty $580.00 Cathedral Investment Management Company Limited
20 Sep 2013 Lifting of Directive Aliquot Precious Metals Inc.
4 Dec 2013 Warning Letter Isocrates Limited
13 Dec 2016 Administrative Penalty $2,250.00 Crestwood Capital International, Ltd.
6 Dec 2012 Revocation of Licenses/Certificate State Mutual Insurance Co. Ltd
26 Sep 2013 Administrative Penalty $100,000.00 Commonwealth Trust Limited
17 Mar 2017 Administrative Penalty $10,000.00 ARAMO CORPORATE SERVICES INC.
22 Dec 2016 Administrative Penalty $7,200.00 LYNX ARBITRAGE FUND LIMITED
22 Dec 2016 Administrative Penalty $580.00 Eastern European Recovery Fund Ltd.
4 Aug 2015 Administrative Penalty $60,000.00 TMF (BVI) Limited
17 Feb 2017 Administrative Penalty $1,750.00 Craigmuir Authorised Representative Limited
13 May 2013 Cease and Desist Order Axis Trading Group Incorporated
5 Mar 2013 Public Statement Moorgate Insurance Company Limited
3 Aug 2016 Warning Letter Folio Administrators Limited
24 Dec 2014 Public Statement Victory Life and Pension Assurance Company LimitedVictory Life and Pension Assurance Company Limited

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