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
Mark Joseph Laurenti	Individual	Jan 27, 2012	active
JPMorgan Chase Bank	Individual	Sep 19, 2013	active
John David Cook	Individual	Jan 26, 2009	active
Richard Telfryn Jones	Individual	Nov 16, 2017	active
John Charalambous	Individual	May 21, 2010	active
Andrew Paul Ruff	Individual	Jul 8, 2011	active
Jason Smith	Individual	Dec 1, 2004	active
Mustafa Dervish	Individual	Oct 18, 2013	active
Richard Michael Wolf	Individual	Oct 11, 2007	active
Ravi Shankar Sinha	Individual	Jan 31, 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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