Fine
Dubai firm director slams DFSA after failed fine and ban appeal
He says ‘no accusations of fraud or wrong-doing took place’ and ‘no clients’ lost any money
Aussie advice firm handed A$6m fine
Penalty ‘sends a strong message to financial services licensees to properly monitor’ authorised representatives
Fine and ban upheld for Dubai financial services firm director
He appealed decisions handed down by the regulator in November 2021
Guernsey trust company and directors fined £400,000
They ‘failed to monitor and manage the financial crime risks associated with its customers’
Hong Kong regulator suspends insurance brokerage licence
And hits it with a financial penalty