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 John Bates	Individual	Sep 20, 2010	active
Stephen Alan Fox	Individual	Sep 19, 2017	active
Barry Williams	Individual	Dec 2, 2011	active
Mohammed Ali Kashmiri	Individual	Oct 4, 2024	active
James Joseph Corr	Individual	Mar 28, 2012	active
Andrew Barry Hart	Individual	Oct 13, 2016	active
Larry John Barreto	Individual	May 1, 2004	active
Jeffrey Ronald Butler	Individual	Dec 7, 2007	active
Milan Vukelic	Individual	Apr 15, 2009	active
Byron Brown	Individual	May 21, 2008	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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