DFSA

R.J. O’Brien (MENA) Capital Limited

RJO MENA entered an Enforceable Undertaking with DFSA for failures in record keeping, trading surveillance, client onboarding, and general systems and controls.

Date

2023-12-01

Entity type

broker

Action type

—

Fine (as written)

—

Fine (normalised AED)

—

Personal fine

Regulations breached

DFSA GEN 4.2.4, 4.2.3, 5.3.1, 5.3.9, 5.3.11; AML 7.2.1; COB 6.7.1 for systems, controls & record keeping.

Scraped at

2026-07-04T16:47:48.268074+00:00

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