ENFORCEMENT & DISCIPLINARY ACTIONS DETAILS
Enforcement & Disciplinary Actions
Firm
Type of Action Action Effective From Action Effective Until Summary of Action
Financial Penalty23/12/2023 View Summary of Action
Registered Individuals
Name of Individual Type of Action Action Effective From Action Effective Until Summary of Action
Patrick BaeriswylIndefinite Prohibition, Financial Penalties05/06/2023 View Summary of Action
Jean-Marc ManteganiIndefinite Prohibition, Financial Penalties05/06/2023 View Summary of Action
Related Individuals
Name of Individual Type of Action Action Effective From Action Effective Until Summary of Action
Luis LaplanaIndefinite Prohibition, Financial Penalties17/01/2023 View Summary of Action
Robert SharrattIndefinite Prohibition, Financial Penalties 07/12/2022 View Summary of Action

public-registers

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