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Firms Status

Amwal LLC

Current

Controlled Function	Controlled Function Status	Date Of Current Status
00998 - Nasser Bin Khaled Al Thani, Hanadi
Senior Executive Function	Approved	04/03/2019
Executive Governance Function	Approved	04/03/2019
01284 - Dave, Rupesh Amritlal
Finance Function	Approved	16/07/2013
01381 - Abdo, Hani
Executive Governance Function	Approved	19/03/2014
01476 - Al-Thani, Mohamed Ahmed J.
Non-Executive Governance Function	Approved	20/04/2015
01561 - Kasala, Kamlesh
Compliance Oversight Function	Approved	04/12/2016
Risk Management Function	Approved	04/12/2016
MLRO Function	Approved	04/12/2016
01922 - Ghassemi, Mahyar
Non-Executive Governance Function	Approved	07/02/2022

History

Controlled Function	Controlled Function Status	Date Of Status
00997 - Shehadeh Ibrahim, George William
Senior Executive Function	Withdrawn	27/06/2013
Senior Executive Function	Approved	14/09/2011
Executive Governance Function	Withdrawn	13/05/2013
Executive Governance Function	Approved	14/09/2011
Customer Facing Function-Advising on Investments	Withdrawn	27/06/2013
Customer Facing Function-Advising on Investments	Approved	14/09/2011
Customer Facing Function-Arranging Deals in Investments	Withdrawn	27/06/2013
Customer Facing Function-Arranging Deals in Investments	Approved	14/09/2011
00998 - Nasser Bin Khaled Al Thani, Hanadi
Non-Executive Governance Function	Withdrawn	04/03/2019
Non-Executive Governance Function	Approved	14/09/2011
00999 - Opie, Anne Louise
Senior Executive Function	Withdrawn	01/04/2014
Senior Executive Function	Approved	16/07/2013
Executive Governance Function	Withdrawn	01/04/2014
Executive Governance Function	Approved	14/09/2011
Compliance Oversight Function	Withdrawn	06/12/2011
Compliance Oversight Function	Approved	14/09/2011
Finance Function	Withdrawn	16/07/2013
Finance Function	Approved	13/01/2013
MLRO Function	Withdrawn	06/12/2011
MLRO Function	Approved	14/09/2011
01000 - Krishnan, Raja
Finance Function	Withdrawn	09/09/2012
Finance Function	Approved	14/09/2011
01001 - Solh, Samer
Senior Management Function	Withdrawn	08/04/2012
Senior Management Function	Approved	14/09/2011
Customer Facing Function-Advising on Investments	Withdrawn	08/04/2012
Customer Facing Function-Advising on Investments	Approved	14/09/2011
Customer Facing Function-Dealing in Investments	Withdrawn	08/04/2012
Customer Facing Function-Dealing in Investments	Approved	14/09/2011
Customer Facing Function-Managing Investments	Withdrawn	08/04/2012
Customer Facing Function-Managing Investments	Approved	14/09/2011
01002 - Airi, Vikram
Senior Management Function	Withdrawn	11/12/2012
Senior Management Function	Approved	14/09/2011
Customer Facing Function-Advising on Investments	Withdrawn	11/12/2012
Customer Facing Function-Advising on Investments	Approved	14/09/2011
Customer Facing Function-Arranging Deals in Investments	Withdrawn	11/12/2012
Customer Facing Function-Arranging Deals in Investments	Approved	14/09/2011
01003 - Boran, Ahmet Afa
Senior Management Function	Withdrawn	07/09/2016
Senior Management Function	Approved	19/07/2012
Customer Facing Function-Advising on Investments	Withdrawn - No longer a controlled function	31/12/2014
Customer Facing Function-Advising on Investments	Approved	14/09/2011
Customer Facing Function-Dealing in Investments	Withdrawn - No longer a controlled function	31/12/2014
Customer Facing Function-Dealing in Investments	Approved	14/09/2011
Customer Facing Function-Managing Investments	Withdrawn - No longer a controlled function	31/12/2014
Customer Facing Function-Managing Investments	Approved	14/09/2011
01004 - Uppuluri, Prashanth
Customer Facing Function-Advising on Investments	Withdrawn - No longer a controlled function	31/12/2014
Customer Facing Function-Advising on Investments	Approved	14/09/2011
Customer Facing Function-Dealing in Investments	Withdrawn - No longer a controlled function	31/12/2014
Customer Facing Function-Dealing in Investments	Approved	14/09/2011
Customer Facing Function-Managing Investments	Withdrawn - No longer a controlled function	31/12/2014
Customer Facing Function-Managing Investments	Approved	14/09/2011
01005 - Cohill, Richard D'arcy
Customer Facing Function-Advising on Investments	Withdrawn	23/05/2013
Customer Facing Function-Advising on Investments	Approved	14/09/2011
Customer Facing Function-Arranging Deals in Investments	Withdrawn	23/05/2013
Customer Facing Function-Arranging Deals in Investments	Approved	14/09/2011
01006 - Al Khairi, Sami Mu'ath Sami
Customer Facing Function-Advising on Investments	Withdrawn	03/12/2014
Customer Facing Function-Advising on Investments	Approved	14/09/2011
Customer Facing Function-Arranging Deals in Investments	Withdrawn	03/12/2014
Customer Facing Function-Arranging Deals in Investments	Approved	14/09/2011
01007 - Hajji, Georges Sami
Customer Facing Function-Advising on Investments	Withdrawn	20/12/2011
Customer Facing Function-Advising on Investments	Approved	14/09/2011
Customer Facing Function-Dealing in Investments	Withdrawn	20/12/2011
Customer Facing Function-Dealing in Investments	Approved	14/09/2011
Customer Facing Function-Managing Investments	Withdrawn	20/12/2011
Customer Facing Function-Managing Investments	Approved	14/09/2011
01047 - Aslam, Mohammed Zahid
Compliance Oversight Function	Withdrawn	31/01/2016
Compliance Oversight Function	Approved	06/12/2011
MLRO Function	Withdrawn	31/01/2016
MLRO Function	Approved	06/12/2011
01283 - Abbas, Farrukh
Non-Executive Governance Function	Withdrawn	26/11/2018
Non-Executive Governance Function	Approved	16/07/2013
01388 - AlGhussein, Fahmi
Senior Executive Function	Withdrawn	01/01/2019
Senior Executive Function	Approved	31/03/2014
Customer Facing Function-Advising on Investments	Withdrawn - No longer a controlled function	31/12/2014
Customer Facing Function-Advising on Investments	Approved	31/03/2014
Customer Facing Function-Arranging Deals in Investments	Withdrawn - No longer a controlled function	31/12/2014
Customer Facing Function-Arranging Deals in Investments	Approved	31/03/2014
01562 - Samhouri, Tal Fawzi
Senior Management Function	Withdrawn	31/08/2019
Senior Management Function	Approved	04/12/2016

Amwal LLC

Current

History

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