ENFORCEMENT & DISCIPLINARY ACTIONS DETAILS
Firm
| Type of Action | Action Effective From | Action Effective Until | Summary of Action |
|---|---|---|---|
| Financial penalty | 14/07/2019 | ||
| First Supervisory Notice Own Initiative Action | 17/09/2020 | ||
| Public censure | 27/04/2014 | ||
| QICDRC Notice | 13/01/2021 | ||
| Second Supervisory Notice Own Initiative Action | 06/10/2020 |
Approved Individuals
| AI No. | Name of Individual | Type of Action | Action Effective From | Action Effective Until | Summary of Action |
|---|---|---|---|---|---|
| 00639 | Recardo, Mark Philip (Prohibited) | Financial penalty and prohibition | 18/08/2014 | ||
| 00950 | Perera, Nigel Thomas Howard (Prohibited) | Financial penalty and prohibition | 01/02/2022 |
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