ENFORCEMENT & DISCIPLINARY ACTIONS DETAILS
Enforcement & Disciplinary Actions
Firm
Type of Action Action Effective From Action Effective Until Summary of Action
Financial penalty14/07/2019 View Summary of Action
First Supervisory Notice – Own Initiative Action17/09/2020 View Summary of Action
Public censure27/04/2014 View Summary of Action
QICDRC Notice13/01/2021 View Summary of Action
Second Supervisory Notice – Own Initiative Action06/10/2020 View Summary of Action
Approved Individuals
AI No. Name of Individual Type of Action Action Effective From Action Effective Until Summary of Action
00639Recardo, Mark Philip (Prohibited)Financial penalty and prohibition18/08/2014 View Summary of Action
00950Perera, Nigel Thomas Howard (Prohibited)Financial penalty and prohibition01/02/2022 View Summary of Action

public-registers

DNFBP FIRMS/ RELATED INDIVIDUALS APPROVED INDIVIDUALS – ENFORCEMENT & DISCIPLINARY ACTIONS DETAILS
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