DFSA | THE INDEPENDENT REGULATOR OF FINANCIAL SERVICES

Name

Mr Brian Francis Claffey

DFSA Reference Number:

I003958

Firm Name

NBE (DIFC) Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

17-Aug-2017

Withdrawal Date

01-Sep-2018

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

14-Jun-2017

Withdrawal Date

13-Sep-2018

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

02-Mar-2017

Withdrawal Date

24-Jun-2021

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

09-Feb-2017

Withdrawal Date

10-Oct-2017

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

13-Nov-2016

Withdrawal Date

18-Sep-2018

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

20-Jul-2016

Withdrawal Date

23-Sep-2018

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

11-Apr-2016

Withdrawal Date

05-Feb-2018

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

03-Oct-2013

Withdrawal Date

25-Feb-2014

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Finance Officer,Senior Manager

Effective Date

14-Apr-2011

Withdrawal Date

13-Sep-2012

Comments

Name
Reference number
Type of Firm
Date Withdrawn

NBE (DIFC) Limited

F001451

Authorised Firms

Plurimi Wealth (Dubai) Limited

F003603

Authorised Firms

Arab Banking Corporation (B.S.C.)

F002859

Authorised Firms

Alkhabeer Capital (DIFC) Limited

F003439

Authorised Firms (Withdrawn)

21-Nov-2019

Tavira Securities Limited

F002929

Authorised Firms

SDI Capital Limited (Suspended)

F003017

Authorised Firms (Withdrawn)

19-Dec-2019

Amana Financial Services (Dubai) Limited

F003269

Authorised Firms

Equitativa (Dubai) Limited

F001310

Authorised Firms

Union Bancaire Privée (Middle East) Limited

F001402

Authorised Firms


Title
Category
Date of Use

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