DFSA | THE INDEPENDENT REGULATOR OF FINANCIAL SERVICES

Name

Ms Harpreet Kaur Bhambra

DFSA Reference Number:

I002088

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

23-Sep-2018

Withdrawal Date

14-Sep-2021

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

21-Nov-2017

Withdrawal Date

04-Apr-2018

Comments

Firm Name

GII Capital Ltd

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

16-Oct-2017

Withdrawal Date

11-Jun-2020

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

24-Sep-2017

Withdrawal Date

26-Sep-2021

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

04-Jul-2017

Withdrawal Date

25-Aug-2021

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

21-Jun-2017

Withdrawal Date

03-Sep-2019

Comments

Firm Name

Axys Capital Ltd

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

06-Mar-2017

Withdrawal Date

30-Apr-2021

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

23-Feb-2016

Withdrawal Date

07-Sep-2021

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

12-May-2014

Withdrawal Date

12-Sep-2021

Comments

Firm Name

GFH Partners Ltd

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

25-Jul-2013

Withdrawal Date

30-Jun-2015

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

21-Nov-2011

Withdrawal Date

18-Sep-2019

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

03-Aug-2011

Withdrawal Date

15-Jun-2014

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

26-May-2011

Withdrawal Date

09-Jan-2018

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

24-Feb-2011

Withdrawal Date

03-Jul-2017

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

23-Jul-2009

Withdrawal Date

26-Oct-2009

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

25-Mar-2009

Withdrawal Date

04-May-2010

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

09-Nov-2008

Withdrawal Date

16-Sep-2012

Comments

Individual type

Authorised Individuals (Withdrawn)

Functions

Senior Manager,Compliance Officer,Money Laundering Reporting Officer

Effective Date

16-Jun-2008

Withdrawal Date

08-Dec-2011

Comments

Name
Reference number
Type of Firm
Date Withdrawn

Aditum Investment Management Limited

F004610

Authorised Firms

Q2Q Investment Partners (DIFC) Limited

F004384

Authorised Firms (Withdrawn)

30-Sep-2018

GII Capital Ltd

F004276

Authorised Firms

Humania Capital (DIFC) Limited

F004209

Authorised Firms

Fajr Capital Advisors Limited

F001582

Authorised Firms

Yield Investments Ltd

F004125

Authorised Firms (Withdrawn)

03-Sep-2019

Axys Capital Ltd

F003970

Authorised Firms

Mizuho Gulf Capital Partners Ltd

F003116

Authorised Firms

Tilad Investment Company Limited

F002418

Authorised Firms

GFH Partners Ltd

F000064

Authorised Firms

Investbridge Capital Limited

F001473

Authorised Firms

I2BF Capital Management Limited

F001262

Authorised Firms (Withdrawn)

15-Jun-2014

Gateway Investment Management Services (DIFC) Ltd

F001118

Authorised Firms

TVM Capital Healthcare Partners Limited

F001120

Authorised Firms

Lazard Gulf Limited

F000567

Authorised Firms

Istithmar World Investment Management (Dubai) Limited

F000961

Authorised Firms (Withdrawn)

04-May-2010

Pharos Financial Advisors Limited

F000957

Authorised Firms (Withdrawn)

31-Oct-2012

Quilvest Capital (Dubai) Limited

F000780

Authorised Firms


Title
Category
Date of Use

For better web experience, please use the website in portrait mode