Name
Mrs Katharine Anne Smith
DFSA Reference Number:
I002428
Individual type
Authorised Individuals (Withdrawn)
Functions
Compliance Officer,Money Laundering Reporting Officer,Senior Manager
Effective Date
04-Aug-2019
Withdrawal Date
16-Sep-2020
Comments
Individual type
Authorised Individuals (Withdrawn)
Functions
Compliance Officer,Money Laundering Reporting Officer,Senior Manager
Effective Date
06-May-2010
Withdrawal Date
11-Jan-2015
Comments
Firm Name
Individual type
Authorised Individuals (Withdrawn)
Functions
Compliance Officer,Money Laundering Reporting Officer,Senior Manager
Effective Date
08-Oct-2017
Withdrawal Date
07-Oct-2020
Comments
Individual type
Authorised Individuals (Withdrawn)
Functions
Compliance Officer,Money Laundering Reporting Officer,Senior Manager
Effective Date
13-Dec-2015
Withdrawal Date
04-Feb-2019
Comments
Firm Name
Individual type
Authorised Individuals (Withdrawn)
Functions
Compliance Officer,Money Laundering Reporting Officer,Senior Manager
Effective Date
24-May-2015
Withdrawal Date
01-Aug-2016
Comments
Firm Name
Individual type
Authorised Individuals (Withdrawn)
Functions
Compliance Officer,Money Laundering Reporting Officer,Senior Manager
Effective Date
21-May-2015
Withdrawal Date
24-Aug-2020
Comments
Firm Name
Individual type
Authorised Individuals (Withdrawn)
Functions
Compliance Officer,Money Laundering Reporting Officer,Senior Manager
Effective Date
29-Apr-2013
Withdrawal Date
03-Sep-2020
Comments
Individual type
Authorised Individuals (Withdrawn)
Functions
Compliance Officer,Money Laundering Reporting Officer,Senior Manager
Effective Date
26-Sep-2011
Withdrawal Date
22-Oct-2012
Comments
Firm Name
Individual type
Authorised Individuals (Withdrawn)
Functions
Compliance Officer,Money Laundering Reporting Officer,Senior Manager
Effective Date
29-Dec-2010
Withdrawal Date
23-Jul-2012
Comments
Firm Name
Individual type
Authorised Individuals (Withdrawn)
Functions
Compliance Officer,Money Laundering Reporting Officer,Senior Manager
Effective Date
06-Jul-2010
Withdrawal Date
07-Jun-2011
Comments
Individual type
Authorised Individuals (Withdrawn)
Functions
Compliance Officer,Money Laundering Reporting Officer,Senior Manager
Effective Date
08-Feb-2010
Withdrawal Date
04-Nov-2014
Comments
Individual type
Authorised Individuals (Withdrawn)
Functions
Compliance Officer,Money Laundering Reporting Officer,Senior Manager
Effective Date
09-Jun-2009
Withdrawal Date
06-Dec-2009
Comments
Firm Name
Individual type
Authorised Individuals (Withdrawn)
Functions
Compliance Officer,Money Laundering Reporting Officer,Senior Manager
Effective Date
09-Apr-2009
Withdrawal Date
18-May-2010
Comments
Individual type
Authorised Individuals (Withdrawn)
Functions
Compliance Officer,Money Laundering Reporting Officer,Senior Manager
Effective Date
15-Jun-2008
Withdrawal Date
06-Dec-2009
Comments
CBRE Investment Management Middle East Limited
F001190
Authorised Firms
Reef Capital Ltd
F003979
Authorised Firms
Robeco Institutional Asset Management B.V.
F001467
Authorised Firms
Saudi Fransi Capital International Ltd
F002822
Authorised Firms (Withdrawn)
01-Aug-2016
Arzan Wealth (DIFC) Limited
F002032
Authorised Firms
Eagle Investments Limited
F001449
Authorised Firms
Munich Re Underwriting Agents (DIFC) Limited
F001207
Authorised Firms
OANDA Middle East Corporation Ltd
F001071
Authorised Firms (Withdrawn)
23-Jul-2012
Oryx Capital Limited
F001221
Authorised Firms (Withdrawn)
07-Jun-2011
Neerav Investment Advisory Services (Dubai) Limited
F000775
Authorised Firms (Withdrawn)
24-Sep-2018
Capital Investment International [CII-UAE] Ltd
F000964
Authorised Firms (Withdrawn)
26-Jun-2011
Aegis Rock Limited
F000974
Authorised Firms (Withdrawn)
30-Sep-2010
City of London Investment Management Company Limited
F000647
Authorised Firms (Withdrawn)
28-Nov-2021
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