Legal
Regulation, Risk & Compliance
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Wealth and Asset Management
Ex-Guardian Wealth Qatar CEO hit with fine and ban
The QFC Regulatory Authority has announced that it had taken disciplinary action against the former CEO of Guardian Wealth Management LLC (in liquidation) for misconduct, and imposed a financial penalty and a three-year prohibition from carrying out a controlled function in the Qatar Financial Centre (“QFC”). In 2018, the Regulatory…
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Source: Qatar Financial Centre Reulatory Authority