Contravention Order – HMB – $1,000.00
In the Matter of the Contravention of Section 64(1)(a) of the Securities Act Chapter 83:02 of the Laws of the […]
Administrative Fines Orders, Contravention Orders, Orders, Orders (Contraventions)
December 31, 2024
Administrative Fines Orders, Contravention Orders, Orders, Orders (Contraventions)
Contravention Order – Samaan Tree Fund – $1,000.00
In the Matter of the Contravention of Section 66(1) of the Securities Act, Chapter 83:02 of the Laws of the
Administrative Fines Orders, Contravention Orders, Orders, Orders (Contraventions)
Contravention Order – Mortgage Participation Fund – $1,000.00
In the Matter of the Contravention of Section 66(1) of the Securities Act, Chapter 83:02 of the Laws of the
Administrative Fines Orders, Contravention Orders, Orders, Orders (Contraventions)
Contravention Order – HMB – $11,000.00
In the Matter of the Contravention of Section 86 of the Securities Act Chapter 83:02 of the Laws of the
Administrative Fines Orders, Contravention Orders, Orders, Orders (Contraventions)
Contravention Order – Maritime Capital Limited – $1,000.00
In the Matter of the Contravention of By-Law 28 of the Securities (General) By-Laws, 2015 By Maritime Capital Limited
Administrative Fines Orders, Contravention Orders, Orders, Orders (Contraventions)
Contravention Order – GLOC – $13,000.00
In the Matter of the Contravention of By-Law 40(1) of the Securities (General) By-Laws (“the By-Laws”) By Guardian Life of
Material Changes
HDC – Change to Board of Directors – Dr. Joseph Jacob
HDC – Change to Board of Directors – Dr. Joseph Jacob
Material Changes
UCL – Change to Board of Directors – Camilo Trujillo
UCL – Change to Board of Directors – Camilo Trujillo
Material Changes
GHL – Change to Senior Officer – Greer Quan
GHL – Change to Senior Officer – Greer Quan