DFSA | THE INDEPENDENT REGULATOR OF FINANCIAL SERVICES

Name

Mr Leslie James Rice

DFSA Reference Number:

I002904

Individual type

Authorised Individuals (Withdrawn)

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

05-Feb-2009

Withdrawal Date

03-Aug-2010

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

05-Feb-2009

Withdrawal Date

03-Aug-2010

Comments

Name
Reference number
Type of Firm
Date Withdrawn

SHUAA Asset Management Ltd

F000222

Authorised Firms (Withdrawn)

01-Nov-2017

SHUAA Capital International Ltd.

F000035

Authorised Firms (Withdrawn)

06-Apr-2020


Title
Category
Date of Use

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