Individuals

Firm Name

Liquidity Finance (DIFC) Limited

Individual type

Authorised Individuals

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

25-Sep-2024

Withdrawal Date

Comments

Firm Name

Liquidity Finance (DIFC) Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

07-Mar-2021

Withdrawal Date

13-Mar-2024

Comments

Firm Name

Aramid Capital Limited

Individual type

Authorised Individuals

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

19-Sep-2024

Withdrawal Date

Comments

Firm Name

Robeco Institutional Asset Management B.V.

Individual type

Authorised Individuals

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

16-Sep-2024

Withdrawal Date

Comments

Firm Name

Robeco Institutional Asset Management B.V.

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

11-Apr-2022

Withdrawal Date

13-Mar-2024

Comments

Firm Name

Archr Brokers (DIFC) Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

04-May-2023

Withdrawal Date

25-Mar-2024

Comments

Firm Name

Archr Brokers (DIFC) Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

17-Nov-2019

Withdrawal Date

17-May-2022

Comments

Firm Name

Global Partners Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

15-Mar-2022

Withdrawal Date

01-Mar-2023

Comments

Firm Name

Creek Capital Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Finance Officer,Compliance Officer,Money Laundering Reporting Officer

Effective Date

14-Jul-2021

Withdrawal Date

13-Mar-2024

Comments

Firm Name

Mclevin & Neilson Wealth Management Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

27-Sep-2020

Withdrawal Date

13-Mar-2024

Comments

Firm Name

Amundi Asset Management

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

29-Jul-2020

Withdrawal Date

29-Mar-2021

Comments

Firm Name

CES Investments Limited (Suspended)

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

13-Oct-2019

Withdrawal Date

13-Jan-2023

Comments

Firm Name

East Capital (Dubai) Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

10-Sep-2018

Withdrawal Date

09-Jun-2019

Comments

Firm Name

CBRE Investment Management Middle East Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

20-May-2018

Withdrawal Date

09-Jun-2019

Comments

Firm Name

Novus Capital Advisors Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

17-Dec-2017

Withdrawal Date

09-Jun-2019

Comments

Firm Name

BearBull Global Investments Group Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

01-Nov-2017

Withdrawal Date

09-Jun-2019

Comments

Firm Name

Quantum Capital Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

13-Sep-2017

Withdrawal Date

31-Oct-2017

Comments

Firm Name

Aditya Birla Sun Life Asset Management Company Limited

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

06-Jun-2017

Withdrawal Date

09-Jun-2019

Comments