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SOFAER CAPITAL INC.

 
Action Date:
Friday, 23 September, 2016
Category:
Enforcement Action:
Enforcement Summary:
A warning letter was issued to SOFAER CAPITAL INC. for its contravention of section 12 of the Securities and Investment Business Act, 2010 for failing to obtain the written approval of the Commission prior to obtaining a subsidiary.
Matter ID:
BF101113/317