Regulatory WatchlistspersonID: us-finra-b969102d5b4c39d59b7bf53bad483e2c9515e644

Ali Abbas Hassan Taj

Primary Source
US FINRA BARRED
Coverage
us
Risk Tier
High
Last Updated
2026-07-26

Compliance Profile

"Due Diligence Flag: Ali Abbas Hassan Taj has records on compliance watchlists (US FINRA BARRED). Review obligations before proceeding."

Banking Impact

Records on US FINRA BARRED can trigger enhanced due diligence, compliance holds, counterparty review and documentation requests from banks, investors or procurement teams.

Legal Status

The record should be reviewed against the original source list, jurisdiction and date of publication before decisions are made. Escalation may be required for procurement, onboarding or investor diligence.

Official Source Metadata

Source: Regulatory Watchlists
Full Legal NameAli Abbas Hassan Taj
Source Records
US FINRA BARRED
Enforcement TypeRegulatory Watchlists
Identifiers3146053
Risk Topicsregulatory, reg.action
Official SourceView source record

Associated Subject Network

(Aaa) Labur Saham Syariah
MY INVESTOR ALERT LIST
(Aaa) Labur Saham Syariah (Aaa) Asri Ahmad Academy Salam Mohd Asri Ahmad (Smaa) (Not Related To Asri Ahmad Academy Sdn Bhd)
MY CONSUMER ALERT LIST
, Mohit Manghnani)
IN NSE DEBARRED
, Mr. Mrinal Chadha
IN NSE DEBARRED

Compliance Context Review

Independent Risk Assessment

SIC Group prepares source-backed risk context, exposure memos, and remediation pathways for individuals seeking to clarify a public record or counterparty signal.

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Banking and counterparty exposure memo
Regulatory status and remediation triage
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