Individuals

Firm Name

DoubleLine Middle East Limited

Individual type

Authorised Individuals

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

12-Oct-2020

Withdrawal Date

Comments

Firm Name

Aramis Partners Limited

Individual type

Authorised Individuals

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

17-Dec-2015

Withdrawal Date

Comments

Firm Name

Bank of London and The Middle East plc

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

02-Feb-2021

Withdrawal Date

09-Sep-2021

Comments

Firm Name

R.J. O'Brien (MENA) Capital Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager

Effective Date

21-Apr-2020

Withdrawal Date

31-Dec-2021

Comments

Firm Name

Jadwa Investment (DIFC) Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

17-Mar-2020

Withdrawal Date

26-Apr-2021

Comments

Firm Name

Capitas (DIFC) Limited (Suspended)

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

28-Sep-2017

Withdrawal Date

01-Jun-2018

Comments

Firm Name

Wealth Plus Asset Management Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

03-Apr-2017

Withdrawal Date

11-Sep-2017

Comments

Firm Name

514 Capital Partners (DIFC) Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

28-Mar-2017

Withdrawal Date

10-Jul-2017

Comments

Firm Name

Himmah Capital Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

15-Mar-2016

Withdrawal Date

26-May-2021

Comments

Firm Name

Amwal Capital Partners Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

14-Feb-2016

Withdrawal Date

27-Jul-2021

Comments

Firm Name

Religare Capital Markets (Hong Kong) Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

03-May-2015

Withdrawal Date

27-Dec-2015

Comments

Firm Name

Lombard Forte Securities Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

01-Sep-2014

Withdrawal Date

21-Jul-2016

Comments

Firm Name

Morgan Stanley Private Wealth Management Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

30-Aug-2009

Withdrawal Date

11-Mar-2013

Comments

Firm Name

Morgan Stanley & Co. International plc

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

30-Aug-2006

Withdrawal Date

11-Mar-2013

Comments