DFSA | THE INDEPENDENT REGULATOR OF FINANCIAL SERVICES

Name

Mr Faheem Inam Aziz

DFSA Reference Number:

I001977

Individual type

Authorised Individuals

Functions

Senior Executive Officer,Licensed Director

Effective Date

18-Oct-2017

Withdrawal Date

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

22-Dec-2016

Withdrawal Date

28-Aug-2017

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

23-Mar-2016

Withdrawal Date

19-Sep-2017

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

13-Mar-2016

Withdrawal Date

25-Aug-2016

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

24-Nov-2015

Withdrawal Date

21-Mar-2016

Comments

Firm Name

Royal Shield Ltd

Individual type

Authorised Individuals (Withdrawn)

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

02-Mar-2014

Withdrawal Date

24-Nov-2015

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

16-Jan-2014

Withdrawal Date

29-Aug-2017

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

22-Jan-2013

Withdrawal Date

04-May-2014

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

22-Jan-2013

Withdrawal Date

12-Oct-2017

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

02-Jan-2013

Withdrawal Date

15-Sep-2015

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

01-Oct-2012

Withdrawal Date

01-Jun-2016

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

19-Apr-2011

Withdrawal Date

09-Mar-2016

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Compliance Officer,Money Laundering Reporting Officer,Senior Manager

Effective Date

10-Jun-2008

Withdrawal Date

17-Dec-2008

Comments

Name
Reference number
Type of Firm
Date Withdrawn

Safa Capital Limited

F004167

Authorised Firms

Risk Exchange (DIFC) Limited

F002239

Authorised Firms

Bastion Capital London Limited

F002870

Authorised Firms (Withdrawn)

07-Mar-2019

Klay Capital Limited

F002026

Authorised Firms

Gulf International Finance Limited

F003201

Authorised Firms

Royal Shield Ltd

F001201

Authorised Firms (Withdrawn)

01-Oct-2018

Abwab Capital Limited

F001078

Authorised Firms (Withdrawn)

17-Sep-2020

First Eastern Capital Limited

F000175

Authorised Firms (Withdrawn)

01-Mar-2020

Roanoke International Brokers (MENA) Limited

F000159

Authorised Firms

Unicapita Advisory Co. Limited

F001618

Authorised Firms (Withdrawn)

08-Jan-2017

The Emirates Capital Limited (In Liquidation)

F000734

Authorised Firms

GR Risk Partners Limited

F001351

Authorised Firms

Swicorp (UAE) Limited

F000718

Authorised Firms (Withdrawn)

18-Jun-2020


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Category
Date of Use

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