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
Matthew Andrew Creed	Individual	Jul 14, 2021	active
David Lawrence Brown	Individual	Jan 29, 2008	active
Mark Thorogood	Individual	Jan 12, 2016	active
Stephen John Tomlin	Individual	Oct 6, 2022	active
Michael Lee Thommes	Individual	Jan 15, 2013	active
Alok Dhanda	Individual	Jan 16, 2018	active
Barclays Bank Plc	Individual	Jun 27, 2012	inactive
Daniel James Plunkett	Individual	May 23, 2014	active
Derick Anthony Whewall	Individual	Jul 15, 2008	active
George Robert Piggott	Individual	Jan 25, 2007	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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