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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
13 May 2013 Cease and Desist Order Axis Trading Group Incorporated
18 Dec 2015 Administrative Penalty $26,000.00 Laureola Advisors Inc.
17 Mar 2017 Revocation of a Licence Dearborn National Life Insurance Company
16 Feb 2017 Administrative Penalty $3,500.00 REAL EAST FUND LTD.
15 Feb 2017 Directive BISON FINANCIAL SERVICES LIMITED
16 Feb 2017 Administrative Penalty $3,500.00 Mediterranean Investment Fund SPC Limited
12 Sep 2014 Directive AAUG Insurance Company Limited
29 Nov 2012 Warning Letter Eurofin Capital Management Limited
2 Jun 2018 Public Statement Smiths Gore and Son’s Reserve Loan Company
10 Jul 2016 Lifting of Directive Caribbean Insurers Limited
20 Aug 2013 Administrative Penalty $500.00 Mr. Barry J. Miller as Director of Shirley Trust Company Limited
20 Sep 2013 Lifting of Directive Aliquot Agriculture Fund Inc.
3 Sep 2015 Warning Letter Global Hawk Insurance Company Ltd.
11 Nov 2016 Administrative Penalty $2,000.00 Standard Pacific Capital Master, Ltd.
30 Nov 2015 Administrative Penalty $15,000.00 CCS Trustees Limited

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