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
Cheickh Tidiane Diallo	Individual	Jan 24, 2013	active
William Mark Tristan Freer	Individual	May 17, 2022	active
Jonathan Milroy Townrow	Individual	Jan 28, 2013	active
Derick Anthony Whewall	Individual	May 21, 2014	active
Kingsbridge Capital Advisors Limited	Individual	May 25, 2023	active
Mark Antony Abley	Individual	Jun 26, 2023	active
Stephen Herbert Danner	Individual	Mar 4, 2013	active
Kevin Allsop	Individual	Apr 1, 2003	active
Sam Thomas Kenny	Individual	Mar 13, 2015	active
Steven Geoffrey Griggs	Individual	Jan 27, 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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