Warning Letter - Dolphin Capital Partners Limited (2013-09-30)

Summary

This is a public enforcement notice published by the BVI Financial Services Commission recording that a warning letter was issued to Dolphin Capital Partners Limited. It is informational only, documenting a completed enforcement action rather than imposing new ongoing requirements on the wider industry.

• Entity involved: Dolphin Capital Partners Limited (Industry Type: Investment Business)
• Breach found: Contravention of section 5(b) of the Securities and Investment Business Act, 2010, by providing investment management services to a company in breach of the conditions of its licence
• Action taken: The Commission issued a warning letter to the firm
• Reference: Matter ID INV092013/155

The notice serves as a public record of the enforcement outcome; it does not set out new rules, deadlines, or continuing compliance duties for other licensees, though it signals the Commission's expectation that investment business licensees operate strictly within the scope of their licence conditions.

Applies to

Investment Business licensees