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Enforcement Action

 
Action Date Enforcement Actionsort descending Licensee or Regulated Person
15 Aug 2011 Directive Next 11 Emerging Fund Inc.
15 Aug 2011 Directive Intelligent Portfolio (IQ-Asset Allocation) Inc.
25 Jan 2013 Directive Consistent Return (Cash Management) Fund Inc.
15 Aug 2011 Directive Porcupine Global Macro Plus Inc.
10 Sep 2012 Directive Lemma Europe Insurance Company Limited
19 Sep 2011 Administrative Penalty $5,000.00 IAI Underwriting Ltd
29 Jun 2011 Administrative Penalty $5,000.00 Victory Life & Pension Assurance Company Limited
20 Oct 2015 Administrative Penalty $5,000.00 ALEMAN, CORDERO, GALINDO & LEE TRUST (BVI) LIMITED
18 May 2011 Administrative Penalty $5,000.00 NCB Investment Services Company
29 Jun 2011 Administrative Penalty $5,000.00 Stafford Insurance Ltd
15 Nov 2011 Administrative Penalty $5,000.00 Shirley Trust Company Limited
23 Feb 2016 Administrative Penalty $5,000.00 Glenn Sylvester Harrigan of CCP FINANCIAL CONSULTANTS LIMITED
27 May 2013 Administrative Penalty $5,000.00 Sinclair Trust & Finance S.A.
31 Jan 2013 Administrative Penalty $5,000.00 The Insurance Store Limited
11 May 2014 Public Statement FFAM Inc.

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