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
Deutsche Bank AG	Individual	Apr 23, 2015	active
Timothy Adrian Hughes	Individual	Apr 17, 2014	active
Robin David Knox	Individual	Jul 3, 2008	active
David Lloyd Wren	Individual	Apr 3, 2014	active
Waheed Hanif	Individual	Nov 29, 2010	active
Ian Orbart	Individual	Sep 12, 2012	active
Charles Richard Francis Weston	Individual	Jul 31, 2008	active
Alexander Jon Compliance Consulting Limited	Individual	May 13, 2022	inactive
Peter Richard Hilder	Individual	Jan 6, 2009	active
Nicholas Andrew McNeil	Individual	Feb 8, 2024	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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