Under the Rule 9.8.3 of the Markets Rules module of the DFSA Rulebook, Reporting Entities are required to disclose to the Market information through a DFSA approved Regulatory Announcement Service
Additional notices
30 prohibited / restricted individuals found
*Pending review: the individual has referred the DFSA’s decision to the financial Markets Tribunal (FMT) for review.
Date of Restriction / Prohibition:17-09-2024
NameMr Christian Franz Thurner
Status of Restriction / Prohibition (Ongoing / Past)Ongoing
Date of Restriction / Prohibition:31-01-2023
NameZachary Peter Cefaratti
Status of Restriction / Prohibition (Ongoing / Past)Ongoing (Restriction under Article 58(1)(c) of the Regulatory Law 2004)
Date of Restriction / Prohibition:30-06-2022
NameMr Trevor Conway
Status of Restriction / Prohibition (Ongoing / Past)Ongoing
Date of Restriction / Prohibition:15-03-2022
NameMr Stuart Coles
Status of Restriction / Prohibition (Ongoing / Past)Ongoing
Date of Restriction / Prohibition:07-10-2021
NameMr Mustafa Ahmed Talaat Abdel-Wadood
Status of Restriction / Prohibition (Ongoing / Past)Ongoing
Date of Restriction / Prohibition:08-08-2021
NameMr Arif Masood Naqvi
Status of Restriction / Prohibition (Ongoing / Past)Ongoing
Date of Restriction / Prohibition:14-06-2021
NameMr Waqar Hassan Siddique
Status of Restriction / Prohibition (Ongoing / Past)Ongoing
Date of Restriction / Prohibition:08-06-2021
NameMr Ashish Brughu Dave
Status of Restriction / Prohibition (Ongoing / Past)Ongoing
Date of Restriction / Prohibition:29-12-2020
NameMr Gilles Rollet
Status of Restriction / Prohibition (Ongoing / Past)Ongoing
Date of Restriction / Prohibition:17-09-2020
NameMr Ashish Bhandari
Status of Restriction / Prohibition (Ongoing / Past)Ongoing
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