DFSA | THE INDEPENDENT REGULATOR OF FINANCIAL SERVICES

Name

Mr Nico Albert Van Bockstal

DFSA Reference Number:

I002449

Individual type

Authorised Individuals

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

02-Aug-2024

Withdrawal Date

Comments

Individual type

Authorised Individuals

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

16-Jan-2024

Withdrawal Date

Comments

Individual type

Authorised Individuals

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

06-Dec-2023

Withdrawal Date

Comments

Individual type

Authorised Individuals

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

01-Nov-2020

Withdrawal Date

Comments

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Authorised Individuals (Withdrawn)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

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Authorised Individuals (Withdrawn)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

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Authorised Individuals (Withdrawn)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

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Authorised Individuals (Withdrawn)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

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer

Effective Date

15-Mar-2018

Withdrawal Date

04-May-2021

Comments

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Authorised Individuals (Withdrawn)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

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Authorised Individuals (Withdrawn)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

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Authorised Individuals (Withdrawn)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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Name
Reference number
Type of Firm
Date Withdrawn

Access Technologies OPCO Limited

F008167

Authorised Firms

Banca del Sempione (Middle East) Ltd.

F008492

Authorised Firms

United Bank for Africa plc (DIFC Branch)

F006859

Authorised Firms

Galaxy Capital Ltd

F006911

Authorised Firms

Invesense Asset Management Limited

F002331

Authorised Firms

ENTO Capital Management Limited

F002897

Authorised Firms

Badwa Capital Limited

F003339

Authorised Firms

Index & Cie Limited

F002641

Authorised Firms

Zenith Bank (UK) Limited - (DIFC Branch)

F002652

Authorised Firms

Neuberger Berman Europe Limited

F003478

Authorised Firms

Cisco Capital (Dubai) Limited

F000963

Authorised Firms

Audacia Capital Limited

F002709

Authorised Firms

iSCF Capital Limited

F002656

Authorised Firms

Eagle Investments Limited

F001449

Authorised Firms

Attijariwafa Bank (Middle East) Limited

F001541

Authorised Firms

First Capital of Switzerland Investment Bank Limited

F001318

Authorised Firms (Withdrawn)

19-Sep-2013

Blackrock Advisors (UK) Limited - Dubai Branch

F000738

Authorised Firms

Indus Valley Capital (UAE) Limited

F001367

Authorised Firms (Withdrawn)

09-Nov-2015

Carlyle MENA Investment Advisors Limited

F001339

Authorised Firms

Yusr Investment Bank Limited

F001070

Authorised Firms (Withdrawn)

21-Nov-2013

SEI Investments (Europe) Limited

F000737

Authorised Firms (Withdrawn)

17-Nov-2016

Vanbreda International (Dubai) Limited

F000935

Authorised Firms (Withdrawn)

19-Dec-2012

Al Arabi Capital Limited

F000355

Authorised Firms (Withdrawn)

26-Jun-2011

Frontier Investment Management Partners Ltd.

F000959

Authorised Firms

CELF Investment Advisors Limited

F000300

Authorised Firms (Withdrawn)

25-Jan-2011

Mazaya Investments (DIFC) Limited

F000922

Authorised Firms (Withdrawn)

04-Apr-2011

Gilford Securities Incorporated

F000486

Authorised Firms (Withdrawn)

14-Jan-2009

Landesbank Baden-Württemberg

F000696

Authorised Firms


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Category
Date of Use

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