ORDER 82005 3
wj Virgin Islands Office of the Lieutenant Governor Division of Banking and Insurance Kongens Gade No. 18, Charlotte Amalie, St. Thomas, USVI, 00802 » (340) 774-7166 » Fax (340) 774-9458 No. 8/2005 ORDER WHEREAS, the Lieutenant Governor or his designee, as Administrator of the Uniform Securities Act as set forth in 9 V.LC. § 602(1) and § 661(a), may issue forms and orders pursuant to 9 V.LC. § 665(a)(1); and WHEREAS, 9 V.LC. § 641(a)and(e) authorizes the Administrator to establish minimum financial requirements, as well as attendant bonding requirements if applicable, for all broker-dealers and investment advisers registered or required to be registered pursuant to the Uniform Securities Act. NOW, THEREFORE, the premises having been considered as set forth above, and the Administrator have found that this Order, in concert with 9 V.LC. § 665, is necessary or appropriate in the public interest and is consistent with the purposes of the Uniform Securities Act; it is hereby Order No. 8 3. …
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wj Virgin Islands Office of the Lieutenant Governor Division of Banking and Insurance Kongens Gade No. 18, Charlotte Amalie, St. Thomas, USVI, 00802 » (340) 774-7166 » Fax (340) 774-9458 No. 8/2005 ORDER WHEREAS, the Lieutenant Governor or his designee, as Administrator of the Uniform Securities Act as set forth in 9 V.LC. § 602(1) and § 661(a), may issue forms and orders pursuant to 9 V.LC. § 665(a)(1); and WHEREAS, 9 V.LC. § 641(a)and(e) authorizes the Administrator to establish minimum financial requirements, as well as attendant bonding requirements if applicable, for all broker-dealers and investment advisers registered or required to be registered pursuant to the Uniform Securities Act. NOW, THEREFORE, the premises having been considered as set forth above, and the Administrator have found that this Order, in concert with 9 V.LC. § 665, is necessary or appropriate in the public interest and is consistent with the purposes of the Uniform Securities Act; it is hereby Order No. 8 3. The investment adviser is in compliance with any bonding requirement in the state in which it maintains its principal place of business. Le Dated this /7 day of February 2005 at St. Thomas, U. S. Virgin Islands. ——.- # ‘ . _ Leet tea Zi, Deverita Carty Sturdivant Director Designee of the Lieutenant Governor/ Securities Administrator