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
FCA record of DoctorAdrian John Bancroft	Individual	Apr 18, 2011	active
Geoffrey Edward Armin	Individual	Nov 3, 2023	active
Jonathan Paul Burrows	Individual	Dec 15, 2014	active
Clint Canning	Individual	Feb 16, 2024	active
Kevin Allsop	Individual	Apr 2, 2003	active
Jeffrey Simon Bennett	Individual	Jul 12, 2013	active
Neil Michael Bartlett	Individual	Apr 8, 2020	active
Stephen Edward Bell	Individual	Mar 13, 2015	active
Jonathan Stephen Bunn	Individual	Apr 14, 2010	active
Michael Ivor Braff	Individual	Dec 15, 1994	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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