The Four Elements PCC: License Revocation
Public Notice announcing the revocation of the 'Global Business Licence' and 'Collective Investment Scheme Authorization' of The Four Elements PCC by the Mauritius Financial Services Commission.
Lancelot Global PCC, The Four Elements PCC and Belvedere Management Limited: Communiqué
Communiqué from the Mauritius Financial Services Commission in response to OffshoreAlert's exposé of Lancelot Global PCC, The Four Elements PCC and Belvedere Management Limited.
New Hampshire Department of State v. Interinvest Corp. et al: Cease and Desist Order
Cease and Desist Order by State of New Hampshire Department of State Bureau of Securities Regulation against Interinvest Corp., Hans Peter Black, and Alexander Richard Black.
CIMA Notice: Caledonian Bank and Caledonian Securities
Public Notice - Controllership of Caledonian Bank and Caledonian Securities - Cayman Islands Monetary Authority - February 10, 2015
FinCEN v. Oppenheimer & Co. Inc.: Press Release
Press Release entitled 'FinCEN Fines Oppenheimer & Co. Inc. $20 Million for Continued Anti-Money Laundering Shortfalls' regarding its relationship with Bahamas-based Gibraltar Global Securities in FinCEN v. Oppenheimer & Co.
SEC v. Oppenheimer & Co. Inc.: Order Instituting Administrative and Cease-and-Desist Proceedings
Order Instituting Administrative and Cease-and-Desist Proceedings in U. S. Securities and Exchange Commission v. Oppenheimer & Co. Inc.
Football Talent Fund et al: Investor Alert
Investor Alert by the Anguilla Financial Services Commission against Football Talent Fund, Cavendish Asset Management Ltd., and Global Agricultural Fund Ltd.
The Four Elements PCC: Warning
Public Notice by the Mauritius Financial Services Commission warning the public about The Four Elements PCC.
Lancelot Global PCC: Warning
Public Notice by the Mauritius Financial Services Commission warning the public about Lancelot Global PCC.
The Four Elements PCC: Warning
Public Warning by the Mauritius Financial Services Commission against The Four Elements PCC.
Lancelot Global PCC: Warning
Public Warning by the Mauritius Financial Services Commission against Lancelot Global PCC.
Channel Islands Stock Exchange: £190,000 Fine
Public Statement by the Guernsey Financial Services Commission regarding a £190,000 fine levied on The Channel Islands Stock Exchange in relation to transactions in the listed securities of Arch Guernsey ICC Limited or its incorporated cells.
Quanto Strategic Currency Fund Ltd.: Public Notice
Quanto Strategic Currency Fund Ltd. (in controllership) - Public Notice - Cayman Islands Monetary Authority - September 22, 2014
Arthur Vann: Cease and Desist
Cease and Desist Order in the matter of Arthur Vann by the Securities Commissioner of South Carolina.
Guardian Trust Company Limited: Revocation of Licence
Guardian Trust Company Limited - Revocation of Licence - Advisory Warning - Nevis Financial Services Regulatory Commission - August 28, 2014
Axiom Fraud: Solicitors Regulation Authority v. Timothy Schools: Judgment
Judgment by the Solicitors Disciplinary Tribunal striking off Timothy Schools as a solicitor in England and Wales in Solicitors Regulation Authority v. Timothy Paul Schools.
FINRA v. Rani Jarkas et al: Hearing Panel Decision
Hearing Panel Decision in FINRA Department of Enforcement v. Rani T. Jarkas and William H. Carson.
AAA Venture Fund SPC Ltd.: Appointment of Controllers
Public Notice by the Cayman Islands Monetary Authority announcing that controllers have been appointed for AAA Venture Fund SPC Limited.
Beverly Insurance Company Ltd.: Public Statement
Beverly Insurance Company Limited - Public Statement - BVI Financial Services Commission - October 1, 2013
Venulum Ltd. et al: Final Order and Consent to Entry of Order
Final Order and Consent to Entry of Order In the Matter of Venulum Ltd., Venulum, Inc., and Giles D. Cadman at the State of Oregon Department of Consumer and Business Services, Division of Finance and Corporate Securities.
Hayes Capital: Public Statement
Hayes Capital - Public Statement - Jersey Financial Services Commission - Public Statement - September 25, 2013
South Carolina Securities Commissioner v. Venulum Ltd.: Consent Order
Consent Order in Securities Commissioner of South Carolina v. Venulum Ltd.
Primasia Korea Growth Fund: Warning Notice
Primasia Korea Growth Fund - Warning Notice - Cayman Islands Monetary Authority - September 3, 2013
Cayman Islands Hedge Fund Corporate Governance Survey
Cayman Islands Hedge Fund Corporate Governance Survey - Cayman Islands Monetary Authority - June 28, 2013
Stephen Andrew Homyard: Public Statement
Stephen Andrew Homyard - Public Statement - Jersey Financial Services Commission - May 24, 2013
Michael McCabe: Public Statement
Michael McCabe - Public Statement - Jersey Financial Services Commission - February 4, 2013
SEC v. David R. Smith: Order Instituting Administrative Proceedings
Order Instituting Administrative Proceedings U. S. Securities and Exchange Commission v. David R. Smith.
SEC v. Igors Nagaicevs: Complaint
Complaint alleging "a brazen stock price manipulation scheme" in U.S. Securities and Exchange Commission v. Igors Nagaicevs, described as a citizen of Latvia, at the U.S. District Court for the Northern District of California.
Timothy Schools: Decision to Prosecute by Solicitors Regulation Authority
Decision to Prosecute Timothy Schools before the Solicitors Disciplinary Tribunal by the Solicitors Regulation Authority.
Guardian Trust Company Limited: License Suspended
Guardian Trust Company Limited - License Suspended by Nevis Financial Services
Gibraltar Global Securities Inc.: Findings
Findings in Executive Director of the British Columbia Securities Commission v. Gibraltar Global Securities Inc. at the British Columbia Securities Commission.
Aldwyn Percival Sully: Public Statement
Aldwyn Percival Sully - Public Statement - Jersey Financial Services Commission - May 16, 2012
SEC v. Martin Currie Inc. et al: Sanctions Order
Sanctions Order in U. S. Securities and Exchange Commission v. Martin Currie Inc. and Martin Currie Investment Management Ltd.
Brian N. Lines and Scott Lines: Reciprocal Order
Reciprocal Order In the Matter of Brian N. Lines and Scott Lines at the British Columbia Securities Commission.
Monkton Insurance Services Ltd.: Controllers Appointed
Monkton Insurance Services Ltd. - Controllers Appointed - Public Notice - Cayman Islands Monetary Authority
Justin Krzysztof Jozef Nicpon: Public Statement
Justin Krzysztof Jozef Nicpon - Public Statement - Jersey Financial Services Commission - February 3, 2012
Trustcorp Services Ltd. et al: Public Statement
Trustcorp Services Limited et al - Public Statement - Jersey Financial Services Commission - January 31, 2012
Sanwa Holdings: Investor Warning
Sanwa Holdings - Investor Warning - Austrian Financial Market Authority - December 21, 2011
Global Invest Switzerland AG
Global Invest Switzerland AG - Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
Titan Invest PLC: Investor Warning
Titan Invest PLC - Investor Warning - Austrian Financial Market Authority - December 20, 2011
Marsh & Reede Capital: Investor Warning
Marsh & Reede Capital - Investor Warning - Austrian Financial Market Authority - December 17, 2011
Carbon Advisory Council
Carbon Advisory Council - Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
Carter Litwin Inc.
Carter Litwin, Inc. - Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
Swiss Fidelity Investment AG
Swiss Fidelity Investment AG - Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
Bahamas Supermarkets Limited: Public Notice (December 2011)
Bahamas Supermarkets Limited - Public Notice - Securities Commission of the Bahamas - December 14, 2011
BOZ Bank of Zurich
BOZ Bank of Zurich - Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
First Standard Management
First Standard Management - Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
Farrel, Thornton, Lloyd & Brown: Investor Warning
Farrel, Thornton, Lloyd & Brown - Investor Warning - Austrian Financial Market Authority - December 3, 2011
Europa Funds Limited: Decision Notice
Europa Funds Limited - Decision Notice - Cayman Islands Monetary Authority - November 28, 2011
Highfield Leveraged Arbitrage Fund: Decision Notice
Highfield Leveraged Arbitrage Fund - Decision Notice - Cayman Islands Monetary Authority - November 28, 2011