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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
9 Feb 2015 Warning Letter AG Diversified Credit Strategies Fund Ltd.
16 Feb 2017 Administrative Penalty $3,500.00 Toro Participations Limited formerly THE TORO FUND LIMITED
11 May 2014 Public Statement Patriarch Insurance Company Limited
4 Dec 2013 Warning Letter Isocrates Limited
13 Jun 2012 Revocation of Licenses/Certificate Catal Insurance Company Limited
6 Mar 2014 Administrative Penalty $40,000.00 Crescent Corporate Services Limited
25 Jan 2013 Directive Aliquot Gold Bullion Inc.
10 May 2015 Fine $4,000.00 Wessex Capital Limited
5 Jan 2014 Administrative Penalty $2,000.00 Premier Assurance Group Ltd.
22 Dec 2016 Administrative Penalty $7,200.00 LYNX ARBITRAGE FUND LIMITED
20 Sep 2013 Lifting of Directive Collection of Modern Art Inc.
22 Dec 2016 Administrative Penalty $580.00 Eastern European Recovery Fund Ltd.
17 Nov 2015 Warning Letter AMS INSURANCE MANAGEMENT SERVICES LIMITED
2 Nov 2015 Public Statement Salvo Insurance Company Limited
5 Mar 2013 Public Statement Moorgate Insurance Company Limited

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