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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
25 Jan 2013 Directive Next 11 Emerging Fund Inc.
7 Oct 2016 Lifting of Directive CREQUE’S INSURANCE AGENCY LIMITED
15 Apr 2016 Warning Letter Hawksford Trustees International (BVI) Limited
14 Apr 2015 Public Statement Bayswater Insurance Management Limited
31 Jan 2013 Administrative Penalty $5,000.00 The Insurance Store Limited
9 Sep 2011 Administrative Penalty $3,000.00 Osiris International Trustees Limited
25 Jan 2013 Directive Intelligent Portfolio (IQ-Asset Allocation) Inc.
16 Aug 2012 Administrative Penalty $4,000.00 Bunge Investment Management Limited
13 May 2013 Administrative Penalty $175,000.00 ABM Corporate Services Ltd.
23 Feb 2016 Administrative Penalty $580.00 Value Partners Private Equity Limited
25 Jan 2013 Directive Porcupine Global Macro Plus Inc.
18 Dec 2015 Administrative Penalty $26,000.00 Laureola Advisors Inc.
21 Mar 2016 Directive Castlestone Management Incorporated
17 Mar 2017 Revocation of a Licence Dearborn National Life Insurance Company
20 Sep 2013 Lifting of Directive Aliquot Gold & Precious Metals Equities Fund Inc.

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