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The DFSA’s Tomorrow’s Regulatory Leaders Programme currently has 9 Emirati graduates training to become financial services regulators.

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Regulatory Actions

Consent Order - DFSA vs Arqaam - September 2012
Consent Order - DFSA vs Ernst & Young - September 2012
Enforceable Undertaking - Credit Europe Bank (Dubai) Limited - September 2012
Enforceable Undertaking - Ozkan Demirkaya - September 2012
RAC Decision - International Investment Group K.S.C. - Notice of Decision - July 2012
Decision on Application for Directions - DFSA vs Arqaam - July 2012
Decision on Application for Directions - DFSA vs Ernst & Young - July 2012
Notice of Withdrawal of Authorisation and Licence of Capital Investment International (CII-UAE) Ltd - May 2012
Notice of Withdrawal of Authorised Individual Status of Mr Husam Al Almeri - May 2012
Notice of Withdrawal of Authorised Individual Status of Mr Odhaid Al Mansouri - May 2012
RAC Decision - Capital Investment International Ltd (CII UAE) - Order Regarding Costs and Publication - April 2012
RAC Decision - Mr Odhaid Saeed Al Mansouri - Order Regarding Costs and Publication - April 2012
RAC Decision - Mr Husam Al Ameri - Order Regarding Costs and Publication - April 2012
RAC Decision - Capital Investment International Ltd (CII UAE) - Notice of Decision - January 2012
RAC Decision - Mr Odhaid Saeed Al Mansouri - Notice of Decision - January 2012
RAC Decision - Mr Husam Al Ameri - Notice of Decision - January 2012
Administrative Fine - Satish Panchariya - October 2011
Administrative Fine - Arun Panchariya - October 2011
Notice of Withdrawal of Authorisation and Licence of Siraj Capital (Dubai) Limited - September 2011
Enforceable Undertaking - E*TRADE Securities Ltd (Dubai International Financial Centre Branch) - May 2011.
Administrative Censure - Saxo Bank Dubai Limited - March 2011.
Enforceable Undertaking - HE Mohamed Alabbar - March 2010.
Enforceable Undertaking - HE Aamer Abdul Jalil Mohammed Al Fahim - March 2010.
Enforceable Undertaking - Dr Mariam Matar - March 2010.
Enforceable Undertaking - Essam Abdulkadir Al Muhaidib - March 2010.
Enforceable Undertaking - Dr Gaetano Cavalieri - March 2010.
Enforceable Undertaking - Ammar Alkhudairy - March 2010.
Enforceable Undertaking - John Harper - March 2010.
Enforceable Undertaking - Damas International Limited - March 2010.
Enforceable Undertaking - The Abdullah Brothers - March 2010.
Administrative Censure - Samir Madison-Jammal - December 2009.
Enforceable Undertaking - Roberto Da Silva - January 2009.
Enforceable Undertaking - Shuaa Capital - September 2008.
Enforceable Undertaking - Alfred Tang - September 2008.
Enforceable Undertaking - Mike Leung - September 2008.
Enforceable Undertaking - Mervyn Francis - September 2008.
Enforceable Undertaking - Stephen Cheung Ga Kin - September 2008.
Enforceable Undertaking - Asad Abu Samra - September 2008.
Enforceable Undertaking - Vimal Viresh Gomes - September 2008.
Enforceable Undertaking - Issa Mohammed Saif Al Rawahi - September 2008.
Enforceable Undertaking - Alaaeddin Farhan - September 2008.
Enforceable Undertaking - Moutaz Saab - September 2008.
Enforceable Undertaking - GFS Investments - September 2008.
Administrative Censure - Sweta Nayar - November 2007.
Enforceable Undertaking - Vanita Chaterbhoj - November 2007.
Enforceable Undertaking - Sweta Nayar - November 2007.
Enforceable Undertaking - TT dotCom Sdn Bhd - October 2007.
Enforceable Undertaking - Rupert Neil Bumfrey and RNB Associates - July 2007.
Enforceable Undertaking - Montpelier and/or Montpelier Group, including Stuart Williamson and Christopher Keavey - October 2006.