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.

Mitigate risk with our comprehensive screening solutions for your AML and sanctions compliance.

Talk to Sales

Take a Product Tour

572 Entities in United Kingdom Financial Services Authority - Prohibited individuals

Entity Name	Entity Type	Effective Date	Status
David Simon Montfort Caplin	Individual	Jan 22, 2015	active
FCA record of David James Carter Mullins	Individual	Jul 25, 2018	active
Shaffarat Parvez	Individual	Oct 6, 2021	active
Nilesh Arvindkumar Shroff	Individual	Jun 3, 2009	active
Solomon Pachtinger	Individual	Apr 3, 2000	active
Zafar Hassan Tanweer	Individual	Mar 13, 2014	active
Tyrone Miller	Individual	May 31, 2024	active
Rienzie Albert Joseph Asoka Silva	Individual	Mar 21, 2011	active
Paul Steel	Individual	Jul 4, 2023	active
Jay Alan Rutland	Individual	Jul 9, 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.

Products

Intel

Sanctions Screener

Global Trade Compliance

Map

APIs

Trademo APIs

Data License

Trademo Data License

Solutions

Sourcing & Procurement

Trade Prospecting