Individuals

Firm Name

Banca del Sempione (Middle East) Ltd.

Individual type

Authorised Individuals

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

16-Jan-2024

Withdrawal Date

Comments

Firm Name

United Bank for Africa plc (DIFC Branch)

Individual type

Authorised Individuals

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

06-Dec-2023

Withdrawal Date

Comments

Firm Name

ENTO Capital Management Limited

Individual type

Authorised Individuals

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

01-Nov-2020

Withdrawal Date

Comments

Firm Name

Carlyle MENA Investment Advisors Limited

Individual type

Authorised Individuals

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

07-Dec-2010

Withdrawal Date

Comments

Firm Name

Galaxy Capital Ltd

Individual type

Authorised Individuals (Withdrawn)

Functions

Responsible Officer

Effective Date

10-Jun-2022

Withdrawal Date

13-Jan-2023

Comments

Firm Name

Invesense Asset Management Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

05-Jan-2022

Withdrawal Date

18-Jan-2024

Comments

Firm Name

Invesense Asset Management Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

17-Nov-2014

Withdrawal Date

03-Mar-2016

Comments

Firm Name

Badwa Capital Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

19-Mar-2019

Withdrawal Date

06-Oct-2022

Comments

Firm Name

Index & Cie Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer

Effective Date

15-Mar-2018

Withdrawal Date

04-May-2021

Comments

Firm Name

Zenith Bank (UK) Limited - (DIFC Branch)

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

16-Oct-2017

Withdrawal Date

31-Mar-2018

Comments

Firm Name

Neuberger Berman Europe Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

06-Jun-2016

Withdrawal Date

24-Jan-2024

Comments

Firm Name

Cisco Capital (Dubai) Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

12-Mar-2015

Withdrawal Date

14-Feb-2019

Comments

Firm Name

Audacia Capital Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

02-Mar-2015

Withdrawal Date

05-Jan-2020

Comments

Firm Name

iSCF Capital Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

06-Nov-2014

Withdrawal Date

16-Feb-2017

Comments

Firm Name

Eagle Investments Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

19-Jun-2012

Withdrawal Date

29-Apr-2013

Comments

Firm Name

Attijariwafa Bank (Middle East) Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

28-Nov-2011

Withdrawal Date

30-Aug-2023

Comments

Firm Name

First Capital of Switzerland Investment Bank Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

17-Oct-2011

Withdrawal Date

19-Sep-2013

Comments

Firm Name

Blackrock Advisors (UK) Limited - Dubai Branch

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

11-Jul-2011

Withdrawal Date

10-Nov-2014

Comments

Firm Name

Indus Valley Capital (UAE) Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

17-Mar-2011

Withdrawal Date

22-Jun-2011

Comments

Firm Name

Yusr Investment Bank Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

18-Aug-2010

Withdrawal Date

02-Jul-2013

Comments

Firm Name

SEI Investments (Europe) Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

25-Feb-2010

Withdrawal Date

23-Jan-2012

Comments

Firm Name

Vanbreda International (Dubai) Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

15-Jun-2009

Withdrawal Date

30-Jun-2010

Comments

Firm Name

Al Arabi Capital Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

20-Jan-2009

Withdrawal Date

26-Jun-2011

Comments

Firm Name

Frontier Investment Management Partners Ltd.

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

05-Nov-2008

Withdrawal Date

04-Jul-2011

Comments

Firm Name

CELF Investment Advisors Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

03-Nov-2008

Withdrawal Date

25-Jan-2011

Comments

Firm Name

Mazaya Investments (DIFC) Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

16-Oct-2008

Withdrawal Date

13-Dec-2010

Comments

Firm Name

Gilford Securities Incorporated

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

30-Aug-2008

Withdrawal Date

14-Jan-2009

Comments

Firm Name

Landesbank Baden-Württemberg

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

11-Aug-2006

Withdrawal Date

08-Nov-2010

Comments