AUTHORISED FIRMS – ENFORCEMENT & DISCIPLINARY ACTIONS
Authorised Firms



Firm Name QFC No. Type of Actions\ Misconduct Action Effective From Action Effective Until Summary of Action
Al Mal Bank LLC 00100Authorisation Withdrawn, Financial Penalty03/03/2010 View Summary of Action
American Life Insurance Company ("ALICO") 00036Enforceable Undertaking31/05/2012 View Summary of Action
Beltone Financial Qatar LLC 00082Financial Penalty15/11/2011 View Summary of Action
CORECAP MERCHANT BANK LLC 00059Disciplinary_Action23/06/2010 View Summary of Action
First Abu Dhabi Bank - QFC Branch 00098Financial Penalty21/10/2019 View Summary of Action
First Abu Dhabi Bank - QFC Branch 00098Additional First Supervisory Notice Own Initiative Action09/06/2019 View Summary of Action
First Abu Dhabi Bank - QFC Branch 00098Second Supervisory Notice - Own Initiative Action09/06/2019 View Summary of Action
First Abu Dhabi Bank - QFC Branch 00098Own Inititiative Action09/06/2019 View Summary of Action
First Abu Dhabi Bank - QFC Branch 00098First Supervisory Notice Own Initiative Action14/03/2019 View Summary of Action
Guardian Wealth Management Qatar LLC 00113Financial Penalty11/04/2011 View Summary of Action
Guardian Wealth Management Qatar LLC 00113Financial penalty23/04/2018 View Summary of Action
Guardian Wealth Management Qatar LLC 00113Guardian Wealth Management Qatar LLC voluntary liquidation06/05/2016 View Summary of Action
Prime Financial Solutions LLC 00109Public censure27/04/2014 View Summary of Action
Prime Financial Solutions LLC 00109Financial penalty14/07/2019 View Summary of Action
Prime Financial Solutions LLC 00109First Supervisory Notice Own Initiative Action17/09/2020 View Summary of Action
Prime Financial Solutions LLC 00109Second Supervisory Notice Own Initiative Action06/10/2020 View Summary of Action
Prime Financial Solutions LLC 00109QICDRC Notice13/01/2021 View Summary of Action
QREIC Sukuk LLC 00012Disciplinary_Action11/04/2011 View Summary of Action
SEIB Insurance and Reinsurance Company LLC 00114Financial Penalty17/04/2011 View Summary of Action
Takaful International Company - QFC Branch 00131Financial Penalty27/09/2020 View Summary of Action
The Royal Bank of Scotland plc 00046Enforceable Undertaking25/03/2014 View Summary of Action

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