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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
29 Jun 2011 Administrative Penalty $3,500.00 Rosebank Limited
23 Sep 2016 Administrative Penalty $6,100.00 BRAZIL ADVANCED LTD. formerly BRAZIL ADVANCED INVESTMENT FUND LTD
27 Oct 2016 Warning Letter Abacus Trust and Management Services Limited
30 Nov 2015 Administrative Penalty $25,000.00 Midland Trust Limited
11 May 2014 Public Statement FFAM Inc.
4 Oct 2011 Warning Letter Sofaer Capital Inc
16 Sep 2014 Revocation of Licence Castlegate Insurance Company Ltd.
15 Aug 2011 Directive Aliquot Commodity Fund Inc.
20 Aug 2013 Administrative Penalty $500.00 Mr. Ernesto F. Shirley as Director of Shirley Trust Company Limited
20 Sep 2013 Lifting of Directive Global Property Growth & Income REITS Fund Inc.
29 Jun 2011 Administrative Penalty $4,000.00 State Mutual Insurance Co. Ltd
16 Feb 2017 Administrative Penalty $3,500.00 Collectible Cars Investment Fund Ltd.
13 Dec 2016 Administrative Penalty $7,350.00 Alwaha Fund Limited
20 Dec 2011 Appointment of Examiner Next 11 Emerging Markets Fund Inc.
19 Sep 2011 Administrative Penalty $5,000.00 IAI Underwriting Ltd

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