ENFORCEMENT & DISCIPLINARY ACTIONS DETAILS
Enforcement & Disciplinary Actions
Firm
Type of Action Action Effective From Action Effective Until Summary of Action
Additional First Supervisory Notice – Own Initiative Action09/06/2019 View Summary of Action
Financial Penalty21/10/2019 View Summary of Action
First Supervisory Notice – Own Initiative Action14/03/2019 View Summary of Action
Own Inititiative Action09/06/2019 View Summary of Action
Second Supervisory Notice - Own Initiative Action09/06/2019 View Summary of Action
Approved Individuals
AI No. Name of Individual Type of Action Action Effective From Action Effective Until Summary of Action
01655James, Prabha (Prohibited)Financial penalty and five-year prohibition15/01/2021 View Summary of Action

public-registers

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