DFSA | THE INDEPENDENT REGULATOR OF FINANCIAL SERVICES

Name

Mr Lee Keith Thompson

DFSA Reference Number:

I007902

Individual type

Authorised Individuals

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

05-Feb-2020

Withdrawal Date

Comments

Individual type

Authorised Individuals

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

18-Sep-2018

Withdrawal Date

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

21-May-2020

Withdrawal Date

21-Jul-2020

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

07-Feb-2018

Withdrawal Date

27-Jun-2018

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

15-Jan-2017

Withdrawal Date

27-May-2018

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

14-Apr-2016

Withdrawal Date

29-Jan-2017

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

13-Dec-2015

Withdrawal Date

26-Jul-2020

Comments

Name
Reference number
Type of Firm
Date Withdrawn

Funding Souq Limited

F005822

Authorised Firms

Introspect Capital (DIFC) Limited

F004884

Authorised Firms

Synergy Management (DIFC) Limited

F004441

Authorised Firms

Strategic Investment Capital Limited

F003495

Authorised Firms (Withdrawn)

28-Jul-2020

ISAM Middle East Limited

F001027

Authorised Firms (Withdrawn)

27-May-2018

RoC Capital Management (Dubai) Ltd

F002924

Authorised Firms (Withdrawn)

29-Jan-2017

Fius Capital Limited

F001157

Authorised Firms


Title
Category
Date of Use

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