Enforcement Action

Action Date	Enforcement Action	Licensee or Regulated Person
08/17/2012 - 00:00	Public Statement	Palos Ventures Fund Ltd.
12/24/2014 - 00:00	Public Statement	Victory Life and Pension Assurance Company LimitedVictory Life and Pension Assurance Company Limited
06/27/2012 - 00:00	Public Statement	State Mutual Insurance Co. Ltd
08/17/2012 - 00:00	Public Statement	BASIS Fund Limited
05/11/2014 - 00:00	Public Statement	Concise Investments Limited
05/13/2013 - 00:00	Administrative Penalty $175,000.00	ABM Corporate Services Ltd.
05/21/2013 - 00:00	Administrative Penalty $4,500.00	The Wesley Company Limited
08/04/2013 - 00:00	Administrative Penalty $14,000.00	Commonwealth Trust Limited
02/24/2012 - 00:00	Warning Letter	Salamander Associates Limited
10/27/2016 - 00:00	Warning Letter	Abacus Trust and Management Services Limited
01/04/2014 - 00:00	Warning Letter	Crescent Corporate Services Limited
06/03/2014 - 00:00	Warning Letter	Finanzas y Negocios International, Inc.
10/27/2016 - 00:00	Warning Letter	MWM Financial Services Group Limited
12/19/2014 - 00:00	Warning Letter	Sucre & Sucre Trust Limited
08/29/2013 - 00:00	Warning Letter	Occidental Life Insurance Company of North Carolina

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