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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
27 Oct 2016 Warning Letter MWM Financial Services Group Limited
9 Oct 2012 Cease & Desist Order Abadi & Co. Securities Ltd.
29 Jun 2011 Administrative Penalty $5,000.00 Stafford Insurance Ltd
11 May 2014 Public Statement Castlegate Insurance Company, Ltd.Castlegate Insurance Company, Ltd.
30 Nov 2015 Administrative Penalty $25,000.00 ILS Fiduciary (BVI) Limited
6 Dec 2012 Revocation of Licenses/Certificate AMCA Insurance & Reinsurance Company Ltd
17 Dec 2014 Warning Letter Aramo Trust Co. Limited
8 Jun 2012 Public Statement Western Preferred Life Assurance Limited
30 Sep 2013 Warning Letter Dolphin Capital Partners Limited
3 Aug 2017 Administrative Penalty $1,750.00 Craigmuir Authorised Representative Limited
23 Dec 2013 Warning Letter Midland Trust Limited
2 Nov 2015 Public Statement Salvo Insurance Company Limited
4 Aug 2013 Cease and Desist Order Blackstar Capital Management Limited
25 Jan 2013 Directive Global Property Growth & Income REITS Fund Inc.
15 Aug 2011 Directive Next 11 Emerging Fund Inc.

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