DFSA | THE INDEPENDENT REGULATOR OF FINANCIAL SERVICES

Name

Mrs Shamshad Khan

DFSA Reference Number:

I002070

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

20-Dec-2022

Withdrawal Date

24-Apr-2023

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

30-Dec-2021

Withdrawal Date

01-Nov-2022

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

14-Mar-2019

Withdrawal Date

08-Jun-2020

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

27-May-2018

Withdrawal Date

29-Jul-2020

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

14-Jun-2009

Withdrawal Date

19-May-2011

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

14-Nov-2017

Withdrawal Date

29-Apr-2018

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

04-Jun-2017

Withdrawal Date

29-Jul-2020

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

03-Aug-2016

Withdrawal Date

31-Dec-2016

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

06-Jan-2016

Withdrawal Date

22-May-2017

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

26-Jul-2015

Withdrawal Date

31-Dec-2018

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

21-Apr-2015

Withdrawal Date

31-May-2016

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

16-Apr-2012

Withdrawal Date

05-Aug-2013

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

06-Dec-2009

Withdrawal Date

18-Feb-2010

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer

Effective Date

09-Feb-2009

Withdrawal Date

17-Jan-2010

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

19-Aug-2008

Withdrawal Date

30-Nov-2008

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

17-Jul-2008

Withdrawal Date

23-Dec-2008

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

23-Jun-2008

Withdrawal Date

08-Feb-2010

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Licensed Director,Compliance Officer,Money Laundering Reporting Officer

Effective Date

15-May-2008

Withdrawal Date

23-Mar-2009

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

24-Feb-2008

Withdrawal Date

17-Feb-2010

Comments

Name
Reference number
Type of Firm
Date Withdrawn

Nomura Singapore Limited (DIFC Branch)

F007664

Authorised Firms

Pemberton Capital Advisors LLP

F006909

Authorised Firms

Arch Corporation (DIFC) Limited

F004035

Authorised Firms

Natixis Investment Managers UK Limited

F000234

Authorised Firms

Mercer Financial Services Middle East Limited

F001250

Authorised Firms

Amundi Asset Management

F003954

Authorised Firms

Gemini Corporate Finance Limited

F003007

Authorised Firms (Withdrawn)

23-Aug-2017

Inverewe Capital Advisors Ltd

F003322

Authorised Firms (Withdrawn)

22-May-2017

Liquidity Finance LLP

F002939

Authorised Firms (Withdrawn)

31-Dec-2018

Que Capital Limited

F002021

Authorised Firms (Withdrawn)

06-Jan-2019

HSBC Bank Middle East Limited.

F000268

Authorised Firms (Withdrawn)

28-Jun-2015

Capital Investment International [CII-UAE] Ltd

F000964

Authorised Firms (Withdrawn)

26-Jun-2011

Al Futtaim Investment Management Limited

F000334

Authorised Firms (Withdrawn)

06-Dec-2018

International General Insurance Company (Dubai) Limited

F000888

Authorised Firms

Lionhart (Middle East) Limited

F000769

Authorised Firms (Withdrawn)

19-Jan-2010

Neerav Investment Advisory Services (Dubai) Limited

F000775

Authorised Firms (Withdrawn)

24-Sep-2018

KBC Financial Products UK Ltd

F000811

Authorised Firms (Withdrawn)

23-Mar-2009

SEI Investments (Europe) Limited

F000737

Authorised Firms (Withdrawn)

17-Nov-2016


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Category
Date of Use

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