DFSA

Unnamed entity

An unnamed Compliance Officer of GFS Investments (Middle East) Limited was fined USD 5,000 and prohibited for 5 years for failing to prevent unauthorised trading by Business Associates.

Date

2008-09-01

Entity type

broker

Action type

Multiple

Fine (as written)

USD$5000

Fine (normalised AED)

18,350

Personal fine

Yes

Individual role

Compliance and Anti Money Laundering Reporting Officer

Regulations breached

Regulatory Law Article 85, DFSA Principles (Integrity, Market Conduct, Due Skill, Management, Compliance), COB, GEN.

Scraped at

2026-07-04T16:59:46.906528+00:00

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