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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
12 Nov 2015 Administrative Penalty $97,000.00 Colonial Insurance (BVI) Limited
23 Feb 2016 Administrative Penalty $5,000.00 Glenn Sylvester Harrigan of CCP FINANCIAL CONSULTANTS LIMITED
15 Apr 2016 Administrative Penalty $1,500.00 Analytical Investments Advisors Ltd.
23 Jul 2013 Appointment of Qualified Person Shirley Trust Company Limited
15 Feb 2017 Directive Newhaven Trustees (BVI) Limited
21 Aug 2015 Administrative Penalty $10,000.00 COVERDALE TRUST SERVICES LIMITED
15 Feb 2017 Directive HAVELET TRUST COMPANY (BVI) LIMITED
3 Jun 2014 Warning Letter Asymmetric Arbitrage, Ltd.
3 May 2014 Cease and Desist Order Avia Investment Group Limited
29 Jun 2011 Administrative Penalty $3,000.00 Stafford Insurance Ltd
9 Sep 2011 Administrative Penalty $3,000.00 Osiris International Trustees Limited
25 Jan 2013 Directive Intelligent Portfolio (IQ-Asset Allocation) Inc.
18 Oct 2012 Directive BGL Private Equity (BVI) Limited
30 Nov 2015 Appointment of Joint Liquidators AAUG Insurance Co. Ltd.
15 Aug 2011 Directive Systematic Growth Fund Inc.

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