ENFORCEMENT & DISCIPLINARY ACTIONS DETAILS
Firm
Type of Action | Action Effective From | Action Effective Until | Summary of Action |
---|---|---|---|
Additional First Supervisory Notice Own Initiative Action | 09/06/2019 | View Summary of Action | |
Financial Penalty | 21/10/2019 | View Summary of Action | |
First Supervisory Notice Own Initiative Action | 14/03/2019 | View Summary of Action | |
Own Inititiative Action | 09/06/2019 | View Summary of Action | |
Second Supervisory Notice - Own Initiative Action | 09/06/2019 | View Summary of Action |
Approved Individuals
AI No. | Name of Individual | Type of Action | Action Effective From | Action Effective Until | Summary of Action |
---|---|---|---|---|---|
01655 | James, Prabha (Prohibited) | Financial penalty and five-year prohibition | 15/01/2021 | 14/01/2026 | View Summary of Action |
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