DFSA

R.J. O’Brien (MENA) Capital Limited

R.J. O’Brien (MENA) Capital Limited was fined USD 1,368,767 by the DFSA for breaches related to resources, systems, AML CDD, and record-keeping.

Date

2023-12-26

Entity type

broker

Action type

Fine

Fine (as written)

USD1,368,767

Fine (normalised AED)

5,023,375

Personal fine

Regulations breached

DFSA GEN Rules 4.2.4, 5.3.1, 5.3.9, 5.3.11; AML Rule 7.2.1; COB Rule 6.7.1

Scraped at

2026-07-04T16:47:55.137074+00:00