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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
7 Aug 2014 Cease and Desist Order Concise Investments Limited
20 May 2015 Public Statement Oriental Conrad Limited
2 Jun 2018 Public Statement Smiths Gore and Son’s Reserve Loan Company
13 Feb 2015 Administrative Penalty $20,000.00 Arias Fabrega & Fabrega Trust Co. BVI Limited
12 Jan 2014 Warning Letter Intac (BVI) International Investments Limited
12 Nov 2013 Administrative Penalty $1,000.00 Crater Assurance Ltd.
11 Nov 2016 Administrative Penalty $2,000.00 Standard Pacific Capital Master, Ltd.
28 Feb 2015 Revocation of Licence Bayswater Insurance Management Limited
3 Dec 2013 Cease and Desist Order Kent Capital Partners Limited
16 Jul 2015 Warning Letter DANTRUST LIMITED
16 Feb 2017 Administrative Penalty $3,500.00 The Opportunity Art Fund Ltd.
2 Sep 2017 Administrative Penalty $3,500.00 Brazil Real Estate Ltd. formerly Brazil Real Estate Fund Ltd.
19 Dec 2014 Warning Letter McNamara Corporate Services Limited
9 Oct 2012 Cease & Desist Order Abadi & Co. Securities Ltd.
25 Jan 2013 Directive Emerging Markets Growth And Income Fund Inc.

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