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
Muhammad Ashraf	Individual	Aug 17, 2015	inactive
FCA record of Aaron Petrou	Individual	Nov 2, 2016	active
Christopher David Toon	Individual	Mar 2, 2004	active
Graham Andrew Darby	Individual	Jul 16, 2009	active
David Robert Pippard	Individual	Jul 26, 1994	active
Anthony Neil Verrier	Individual	Jan 30, 2014	active
Stuart Unwin	Individual	Apr 25, 2012	active
Stephen Neil Sanders	Individual	Aug 3, 2009	active
MICHAEL JOSEPH JAMES LEWIS	Individual	Aug 9, 2011	active
Ayodele Olubunmi Thomas	Individual	Oct 5, 2009	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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