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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
22 Dec 2016 Administrative Penalty $310.00 DEVONSHIRE FUNDS LTD.
30 Sep 2013 Warning Letter Dolphin Capital Partners Limited
27 May 2016 Lifting of Directive Castlestone Management Incorporated
15 Aug 2011 Directive Aliquot Gold & Precious Metals Equities Fund Inc.
17 Feb 2017 Administrative Penalty $1,400.00 Reinsurance Solutions Ltd.
23 Dec 2013 Warning Letter Midland Trust Limited
24 Mar 2014 Cease and Desist Order FFAM Inc.
20 Dec 2011 Appointment of Examiner Collection of Modern Art Inc.
19 Sep 2011 Public Statement American Great Lakes Insurance Company Ltd.
4 Oct 2011 Warning Letter Sofaer Administration Limited
11 Feb 2011 Revocation of Licenses/Certificate Mr. Christopher David Stride of Krys & Associates (BVI) Ltd
25 Jan 2013 Directive Global Property Growth & Income REITS Fund Inc.
25 Jan 2013 Directive Consistent Return (Cash Management) Fund Inc.
19 Dec 2014 Warning Letter Arias, Fabrega & Fabrega Trust Co. (BVI) Limited
11 Nov 2016 Administrative Penalty $2,000.00 Standard Pacific Capital Offshore, Ltd.

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