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 | ||
| Financial Penalty | 21/10/2019 | ||
| First Supervisory Notice Own Initiative Action | 14/03/2019 | ||
| Own Inititiative Action | 09/06/2019 | ||
| Second Supervisory Notice - Own Initiative Action | 09/06/2019 |
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 |
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