United Kingdom Financial Services Authority - Prohibited individuals

The United Kingdom Financial Services Authority (FSA) maintains a list of prohibited individuals to ensure the safety and integrity of the financial system. This list includes individuals who are banned from working in the financial services industry due to misconduct or regulatory breaches.

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572 Entities in United Kingdom Financial Services Authority - Prohibited individuals

Entity Name	Entity Type	Effective Date	Status
Damian Frank Clarke	Individual	Jun 1, 2017	active
John Stanley Lepine	Individual	Dec 20, 2006	active
Gary John Hexley	Individual	Jun 29, 2011	active
Freddy David	Individual	May 15, 2019	active
Meenaz Pravin Mehta	Individual	Apr 14, 2010	active
Redvers David Evans	Individual	Dec 1, 2004	active
Stewart Owen Ford	Individual	Jan 16, 2019	active
Alan James Hewitt	Individual	Jul 15, 2008	active
Terence Andrew Joint	Individual	May 9, 2016	active
Alexander Edward TenHolter	Individual	Jan 26, 2012	active

FAQs

Why is compliance with the Unverified List necessary?

Compliance with the unverified list is crucial to maintaining legal and ethical standards in business operations. It helps prevent unintentional engagements with sanctioned entities that could lead to legal repercussions, financial penalties, and reputational damage. By adhering to these lists, organizations protect themselves from risks associated with fraud, money laundering, and other illicit activities. Moreover, compliance fosters trust with stakeholders and demonstrates a commitment to upholding international laws and regulations, thereby ensuring responsible corporate conduct in an interconnected global economy.

Which companies should comply with Unverified List?

The Unverified List primarily affects financial institutions, exporters, and companies involved in international trade. These businesses must comply to mitigate risks associated with doing business with entities lacking verified legitimacy, which could lead to regulatory penalties and reputational damage. Compliance ensures that companies remain in good standing and avoid potential sanctions or restrictions from government authorities.

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