DFSA
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DFSA fines former private banker $980,020 for misleading and deceptive conduct
The Dubai financial services regulator has now banned him from holding office or being employed by a DFSA-authorized firm.
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The GRIP Files: Sabine Lautenschläger, senior adviser at Covington
Sabine, a former EU and German banking regulator, discusses her career, digitalisation challenges in banking and payments, and what people starting out need to know.
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Dubai’s regulator fines brokerage $1.37m for inadequate compliance resources
Another case of prolific incomplete electronic communications recordkeeping and monitoring failures.