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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Personsort descending
05/10/2015 - 00:00 Fine $4,000.00 Wessex Capital Limited
06/08/2012 - 00:00 Public Statement Western Preferred Life Assurance Limited
06/07/2012 - 00:00 Revocation of Licenses/Certificate Western Preferred Life Assurance Limited
12/13/2016 - 00:00 Administrative Penalty $6,000.00 WISE TRAIN LIMITED
03/03/2017 - 00:00 Administrative Penalty $49,000 WORLD ARROW LIMITED
01/25/2013 - 00:00 Directive World Index Growth and Income Fund Inc.
09/20/2013 - 00:00 Lifting of Directive World Index Growth and Income Fund Inc.
08/15/2011 - 00:00 Directive World Index Growth and Income Fund Inc.
09/02/2017 - 00:00 Administrative Penalty $3,500.00 WPC Fund Ltd.

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