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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
23 Feb 2017 Administrative Penalty $580.00 Value Partners Private Equity Limited
15 Aug 2011 Directive Porcupine Absolute Return Fund Inc.
2 May 2013 Cease and Desist Order Landora Investing Ltd.
11 Feb 2015 Administrative Penalty $10,000.00 DANTRUST LIMITED
28 Mar 2014 Administrative Penalty $8,000.00 Capitalworks Investment Management International Advisors Limited
2 Sep 2017 Administrative Penalty $3,500.00 WPC Fund Ltd.
9 Feb 2015 Warning Letter AG Diversified Credit Strategies Fund Ltd.
30 Nov 2015 Administrative Penalty $25,000.00 QUIJANO & ASSOCIATES (BVI) LIMITED
15 Feb 2017 Directive MCNAMARA CORPORATE SERVICES LIMITED
15 Aug 2011 Directive Emerging Markets Growth And Income Fund Inc.
13 Jun 2012 Revocation of Licenses/Certificate Catal Insurance Company Limited
25 Jan 2013 Directive Aliquot Gold Bullion Inc.
15 Nov 2011 Administrative Penalty $5,000.00 Shirley Trust Company Limited
12 Nov 2013 Administrative Penalty $37,500.00 Mossack Fonseca & Co. (BVI) Ltd.
23 Feb 2016 Administrative Penalty $5,000.00 Glenn Sylvester Harrigan of CCP FINANCIAL CONSULTANTS LIMITED

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