| Danske Bank | Danske Bank | financial services | banking violation | 2021 | UK-CMA | £0 |
| Clydesdale Bank plc | Virgin Money UK PLC | financial services | banking violation | 2021 | UK-CMA | £0 |
| AIB Group (UK) plc | Allied Irish Banks | financial services | banking violation | 2020 | UK-CMA | £0 |
| Lloyds Banking Group plc | Lloyds Banking Group | financial services | banking violation | 2020 | UK-CMA | £0 |
| Amazon.com Inc. | Amazon.com | retailing | investor protection violation | 2020 | UK-CMA | £55,000 |
| Shelby Finance Limited | | | payday lending violation | 2020 | UK-CMA | £527,863 |
| Royal Bank of Scotland Group | NatWest Group PLC | financial services | banking violation | 2020 | UK-CMA | £2,200,000 |
| Metro Bank plc | Metro Bank PLC | financial services | banking violation | 2020 | UK-CMA | £11,400,000 |
| Nationwide Building Society | Nationwide Building Society | financial services | banking violation | 2020 | UK-CMA | £900,000 |
| Santander UK plc | Banco Santander | financial services | banking violation | 2019 | UK-CMA | £19,000,000 |
| HSBC Bank plc | HSBC | financial services | banking violation | 2019 | UK-CMA | £8,000,000 |
| PayPal Holdings, Inc. and PayPal (Europe) Sarl et Cie SCA and PayPal SE | PayPal Holdings | financial services | investor protection violation | 2019 | UK-CMA | £250,000 |
| Nationwide Building Society | Nationwide Building Society | financial services | banking violation | 2019 | UK-CMA | £6,000,000 |
| Barclays Bank UK plc and Barclays Bank plc | Barclays | financial services | banking violation | 2019 | UK-CMA | £1,910 |
| AIB Group (UK) plc dba First Trust Bank | Allied Irish Banks | financial services | banking violation | 2014 | UK-CMA | £0 |
| HSBC Bank plc | HSBC | financial services | banking violation | 2014 | UK-CMA | £0 |
| Danske Bank | Danske Bank | financial services | banking violation | 2021 | UK-CMA | £0 |
| Lloyds Banking Group | Lloyds Banking Group | financial services | banking violation | 2021 | UK-CMA | £0 |
| Santander UK plc | Banco Santander | financial services | banking violation | 2021 | UK-CMA | £0 |
| Lloyds Banking Group | Lloyds Banking Group | financial services | banking violation | 2021 | UK-CMA | £0 |
| BDSwiss Holding Plc | | | investor protection violation | 2021 | UK-FCA | £0 |
| Avacade Future Solutions et al. | | | investor protection violation | 2021 | UK-FCA | £0 |
| Charles Schwab UK Ltd. | Charles Schwab Corp. | financial services | investor protection violation | 2020 | UK-FCA | £8,963,200 |
| LJ Financial Planning Ltd. | | | investor protection violation | 2020 | UK-FCA | £107,200 |
| TFS-ICAP Ltd. | | | investor protection violation | 2020 | UK-FCA | £3,444,100 |
| Goldman Sachs International | Goldman Sachs | financial services | investor protection violation | 2020 | UK-FCA | £48,308,400 |
| Asia Research and Capital Management Ltd. | | | investor protection violation | 2020 | UK-FCA | £873,118 |
| Commerzbank AG | Commerzbank | financial services | anti-money-laundering deficiencies | 2020 | UK-FCA | £37,805,400 |
| Lloyds Bank plc and Bank of Scotland plc and The Mortgage Business plc | Lloyds Banking Group | financial services | mortgage abuses | 2020 | UK-FCA | £64,046,800 |
| Henderson Investment Funds Ltd. | Janus Henderson | financial services | investor protection violation | 2019 | UK-FCA | £1,867,900 |
| Tullett Prebon (Europe) Limited | TP ICAP PLC | financial services | investor protection violation | 2019 | UK-FCA | £15,400,000 |
| The Prudential Assurance Company Limited | M&G PLC | financial services | investor protection violation | 2019 | UK-FCA | £23,875,000 |
| Standard Life Assurance Limited | Phoenix Group Holdings PLC | financial services | investor protection violation | 2019 | UK-FCA | £30,792,500 |
| Cathay International Holdings Limited | | | investor protection violation | 2019 | UK-FCA | £411,000 |
| Bank of Scotland | Lloyds Banking Group | financial services | banking violation | 2019 | UK-FCA | £45,500,000 |
| R. Raphael & Sons plc | | | banking violation | 2019 | UK-FCA | £775,100 |
| Linear Investments Limited | | | investor protection violation | 2019 | UK-FCA | £409,300 |
| Standard Chartered Bank | Standard Chartered | financial services | anti-money-laundering deficiencies | 2019 | UK-FCA | £102,163,200 |
| Goldman Sachs International | Goldman Sachs | financial services | investor protection violation | 2019 | UK-FCA | £34,344,700 |
| UBS AG | UBS | financial services | investor protection violation | 2019 | UK-FCA | £27,599,400 |
| Hargreave Hale Ltd | | | insider trading | 2019 | UK-FCA | £306,300 |
| River and Mercantile Asset Management LLP | | | insider trading | 2019 | UK-FCA | £108,600 |
| Santander UK plc | Banco Santander | financial services | banking violation | 2018 | UK-FCA | £32,817,800 |
| Tesco Personal Finance plc | Tesco PLC | retailing | privacy violation | 2018 | UK-FCA | £16,400,000 |
| Canara Bank | | | anti-money-laundering deficiencies | 2018 | UK-FCA | £896,100 |
| Interactive Brokers (UK) | Interactive Brokers Group | financial services | investor protection violation | 2018 | UK-FCA | £1,049,412 |
| Tejoori Limited | | | investor protection violation | 2017 | UK-FCA | £70,000 |
| Merrill Lynch International | Bank of America | financial services | investor protection violation | 2017 | UK-FCA | £34,524,000 |
| Rio Tinto plc | Rio Tinto | mining and minerals | accounting fraud or deficiencies | 2017 | UK-FCA | £27,385,400 |
| Deutsche Bank AG | Deutsche Bank | financial services | anti-money-laundering deficiencies | 2017 | UK-FCA | £163,076,224 |
| Sonali Bank (UK) Limited | | | anti-money-laundering deficiencies | 2016 | UK-FCA | £3,250,600 |
| Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited | Aviva PLC | financial services | investor protection violation | 2016 | UK-FCA | £8,246,800 |
| Cenkos Securities Plc | | | investor protection violation | 2016 | UK-FCA | £530,500 |
| W H Ireland Limited | | | investor protection violation | 2016 | UK-FCA | £1,200,000 |
| Threadneedle Asset Management Limited | | | investor protection violation | 2015 | UK-FCA | £6,038,504 |
| Barclays Bank plc | Barclays | financial services | anti-money-laundering deficiencies | 2015 | UK-FCA | £72,069,400 |
| John Joseph Financial Services Limited | | | investor protection violation | 2015 | UK-FCA | £20,000 |
| Mineworld Limited | | | investor protection violation | 2015 | UK-FCA | £5,000,000 |
| Da Vinci Invest Limited | | | investor protection violation | 2015 | UK-FCA | £1,460,000 |
| Asia Resource Minerals plc fka Bumi plc | | | investor protection violation | 2015 | UK-FCA | £4,651,200 |
| Merrill Lynch International | Bank of America | financial services | investor protection violation | 2015 | UK-FCA | £13,285,900 |
| The Bank of New York Mellon International Limited et al. | Bank of New York Mellon | financial services | investor protection violation | 2015 | UK-FCA | £126,000,000 |
| Bank of Beirut (UK) Ltd | | | anti-money-laundering deficiencies | 2015 | UK-FCA | £2,100,000 |
| Aviva Investors Global Services Limited | Aviva PLC | financial services | investor protection violation | 2015 | UK-FCA | £17,607,000 |
| Reckitt Benckiser Group Plc | Reckitt Benckiser | household and personal care products | investor protection violation | 2015 | UK-FCA | £539,800 |
| Execution Noble & Company Limited | | | investor protection violation | 2014 | UK-FCA | £231,000 |
| Royal Bank of Scotland Plc and National Westminster Bank Plc and Ulster Bank Plc | NatWest Group PLC | financial services | banking violation | 2014 | UK-FCA | £42,000,000 |
| Chase de Vere Independent Financial Advisers Limited | Swiss Life Group | financial services | investor protection violation | 2014 | UK-FCA | £560,000 |
| Sesame Limited | Aviva PLC | financial services | investor protection violation | 2014 | UK-FCA | £1,598,000 |
| Yorkshire Building Society | Yorkshire Building Society | financial services | mortgage abuses | 2014 | UK-FCA | £4,135,600 |
| Barclays Bank plc | Barclays | financial services | investor protection violation | 2014 | UK-FCA | £37,745,000 |
| The Royal Bank of Scotland plc and National Westminster Bank Plc | NatWest Group PLC | financial services | mortgage abuses | 2014 | UK-FCA | £14,474,600 |
| Deutsche Bank AG | Deutsche Bank | financial services | investor protection violation | 2014 | UK-FCA | £4,718,800 |
| Credit Suisse International | Credit Suisse | financial services | investor protection violation | 2014 | UK-FCA | £2,398,100 |
| Yorkshire Building Society | Yorkshire Building Society | financial services | investor protection violation | 2014 | UK-FCA | £1,429,000 |
| Barclays Bank plc | Barclays | financial services | investor protection violation | 2014 | UK-FCA | £26,033,500 |
| Invesco Asset Management Limited and Invesco Fund Managers Limited | Invesco | financial services | investor protection violation | 2014 | UK-FCA | £18,643,000 |
| Santander UK plc | Banco Santander | financial services | investor protection violation | 2014 | UK-FCA | £12,377,800 |
| Besso Limited | BGC Partners | financial services | investor protection violation | 2014 | UK-FCA | £315,000 |
| Forex Capital Markets Ltd and FXCM Securities Ltd | | | investor protection violation | 2014 | UK-FCA | £4,000,000 |
| State Street Bank Europe Limited and State Street Global Markets International Limited | State Street Corp. | financial services | investor protection violation | 2014 | UK-FCA | £22,885,000 |
| 7722656 Canada Inc. | | | investor protection violation | 2014 | UK-FCA | £8,000,000 |
| Standard Bank PLC | Standard Bank Group Limited | financial services | anti-money-laundering deficiencies | 2014 | UK-FCA | £7,640,400 |
| Lloyds Bank plc and Bank of Scotland plc | Lloyds Banking Group | financial services | investor protection violation | 2013 | UK-FCA | £28,038,800 |
| Westwood Independent Financial Planners | | | investor protection violation | 2013 | UK-FCA | £100,000 |
| SEI Investments (Europe) Limited | | | investor protection violation | 2013 | UK-FCA | £900,200 |
| JPMorgan Chase Bank N.A. | JPMorgan Chase | financial services | investor protection violation | 2013 | UK-FCA | £137,610,000 |
| AXA Wealth Services Ltd | Phoenix Group Holdings PLC | financial services | investor protection violation | 2013 | UK-FCA | £1,802,200 |
| Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited | Abrdn PLC | financial services | investor protection violation | 2013 | UK-FCA | £7,192,500 |
| Guaranty Trust Bank (UK) Limited | Guaranty Trust Bank PLC | financial services | anti-money-laundering deficiencies | 2013 | UK-FCA | £525,000 |
| The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V. | NatWest Group PLC | financial services | investor protection violation | 2013 | UK-FCA | £5,620,300 |
| Sesame Limited | Aviva PLC | financial services | investor protection violation | 2013 | UK-FCA | £6,031,200 |
| Xcap Securities PLC | | | investor protection violation | 2013 | UK-FCA | £120,900 |
| J.P. Morgan International Bank Limited | JPMorgan Chase | financial services | investor protection violation | 2013 | UK-FCA | £3,076,200 |
| Avacade Limited et al. | | | investor protection violation | 2021 | UK-FCA | £10,715,000 |
| BDSwiss Holding Plc | | | investor protection violation | 2021 | UK-FCA | £0 |
| Park First Limited et al. | | | investor protection violation | 2021 | UK-FCA | £25,000,000 |
| Credit Suisse | Credit Suisse | financial services | banking violation | 2021 | UK-FCA | £292,209,276 |
| Sunrise Brokers LLP | BGC Partners | financial services | anti-money-laundering deficiencies | 2021 | UK-FCA | £642,400 |
| HSBC Bank plc | HSBC | financial services | anti-money-laundering deficiencies | 2021 | UK-FCA | £63,946,800 |
| National Westminster Bank plc | NatWest Group PLC | financial services | anti-money-laundering deficiencies | 2021 | UK-FCA | £264,772,619 |
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