Secondary Menu

You are here

Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
14 Oct 2013 Administrative Penalty $2,500.00 Portcullis TrustNet (BVI) Limited
28 Mar 2014 Administrative Penalty $8,000.00 Capitalworks Investment Management International Advisors Limited
30 May 2014 Warning Letter Lumen Asset Management Limited
9 Feb 2015 Warning Letter AG Diversified Credit Strategies Fund Ltd.
2 Sep 2017 Administrative Penalty $2,000.00 EAGLE CONSTELLATION FUND, LTD.
3 Jun 2014 Warning Letter Sail Flagship Management Limited
13 Jun 2012 Revocation of Licenses/Certificate Catal Insurance Company Limited
16 Oct 2014 Administrative Penalty $6,000.00 Mint Capital Advisers Limited
25 Jan 2013 Directive Aliquot Gold Bullion Inc.
10 Jun 2011 Administrative Penalty $2,000.00 FH Corporate Services Ltd
23 Feb 2016 Administrative Penalty $680.00 Southagus Fund Ltd
25 Jan 2013 Directive Collection of Modern Art Inc.
20 Aug 2013 Administrative Penalty $500.00 Ms. Benedicta Samuels as Director of Shirley Trust Company Limited
25 Feb 2015 Administrative Penalty $20,000.00 Amicorp B.V.I. Limited
3 Dec 2013 Cease and Desist Order Granite Global Insurance Company Limited

Pages