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
Abdul Razzaq	Individual	Aug 14, 2014	active
David Nicholas King	Individual	May 19, 2023	active
David Roberts	Individual	Jul 28, 2010	active
Robert Stevens	Individual	Nov 1, 2003	active
Jonathan Paul Elms	Individual	Jul 1, 2005	active
Mark Samuel Taylor	Individual	May 13, 2016	active
Andrew Charles Rees	Individual	Apr 17, 2014	active
Paul Milsom	Individual	Apr 27, 2020	active
David John Marriott	Individual	Sep 2, 2010	active
Timothy Alan Roberts	Individual	Apr 8, 2016	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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