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
01304Veiss, Rudolfs (Prohibited)5-year Prohibition and financial penalty 19/09/202218/09/2027 View Summary of Action
00639Recardo, Mark Philip (Prohibited)Financial penalty and prohibition18/08/201417/08/2016 View Summary of Action
00950Perera, Nigel Thomas Howard (Prohibited)Financial penalty and prohibition05/04/202104/04/2024 View Summary of Action

public-registers

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