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12 September 2018 Supervision Supervision label Supervision Q&A

Question:

Can a fine be imposed on a de facto director if the offending legal entity has since gone into liquidation?

Answer:

Yes, it can. The legal entity's liquidation does not affect the option of taking action against its de facto director. The imposition of a fine on the liquidated legal entity also remains an option.

Sector(s)

  • Banks
  • Clearing institutions
  • Collective investment schemes
  • Insurers
  • Investment firms
  • Payment institutions
  • Pension funds
  • Trust offices