Companies Facing Enforcement Action
                    
                        
                        (April, 2015 to December, 2016)
                    
                
                
            | S/N | Name of Company | Nature of Enforcement Action | Reason | Date | Remarks | 
|---|---|---|---|---|---|
| 1 | Falcon Securities Limited and its sponsored individuals | Suspension (Now Lifted) | As a result of the firm resolving all issues that led to its suspension as well as compliance with the commission's directives | June 10, 2016 | Suspension was lifted on June 10, 2016 |