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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
24 Mar 2014 Cease and Desist Order FFAM Inc.
28 Apr 2015 Revocation of Licence Cathay Asia Limited
20 Dec 2011 Appointment of Examiner Aliquot Precious Metals Inc.
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.
12 Nov 2015 Administrative Penalty $97,000.00 Colonial Insurance (BVI) Limited
15 Apr 2016 Administrative Penalty $1,500.00 Analytical Investments Advisors Ltd.
11 Nov 2016 Administrative Penalty $2,000.00 Standard Pacific Capital Offshore, Ltd.
15 Aug 2011 Directive Next 11 Emerging Fund Inc.
27 Jun 2012 Public Statement Hove Insurance Company Limited
21 Aug 2015 Administrative Penalty $10,000.00 COVERDALE TRUST SERVICES LIMITED
3 Jun 2014 Warning Letter Asymmetric Arbitrage, Ltd.
21 May 2013 Administrative Penalty $4,500.00 The Wesley Company Limited
17 Aug 2012 Public Statement Palos Ventures Fund Ltd.

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