National Westminster Bank plc | NatWest Group PLC | financial services | anti-money-laundering deficiencies | 2021 | UK-FCA | £264,772,619 |
The TJM Partnership Limited | | | anti-money-laundering deficiencies | 2022 | UK-FCA | £2,038,700 |
Ghana International Bank Plc | | | anti-money-laundering deficiencies | 2022 | UK-FCA | £5,829,900 |
JLT Specialty Limited | Marsh & McLennan | financial services | anti-money-laundering deficiencies | 2022 | UK-FCA | £7,881,700 |
GAM International Management Ltd | GAM Holding AG | financial services | investor protection violation | 2022 | UK-FCA | £9,103,523 |
Sigma Broking Ltd. | | | investor protection violation | 2022 | UK-FCA | £531,000 |
Citigroup Global Markets Limited | Citigroup | financial services | investor protection violation | 2022 | UK-FCA | £12,553,800 |
Carillion plc | | | investor protection violation | 2022 | UK-FCA | £0 |
TJM Partnership | | | anti-money-laundering deficiencies | 2022 | UK-FCA | £2,038,700 |
Gatehouse Bank Plc | | | anti-money-laundering deficiencies | 2022 | UK-FCA | £1,584,100 |
Metro Bank PLC | Metro Bank PLC | financial services | accounting fraud or deficiencies | 2022 | UK-FCA | £10,002,300 |
Santander UK Plc | Banco Santander | financial services | anti-money-laundering deficiencies | 2022 | UK-FCA | £107,793,300 |
BGC Brokers LP and GFI Brokers Ltd and GFI Securities Ltd | | | investor protection violation | 2022 | UK-FCA | £4,775,200 |
Pembrokeshire Mortgage Centre Limited | | | investor protection violation | 2022 | UK-FCA | £2,354,331 |
Julius Baer International Limited | Julius Baer Group | financial services | investor protection violation | 2022 | UK-FCA | £18,022,500 |
Al Rayan Bank PLC | | | anti-money-laundering deficiencies | 2023 | UK-FCA | £4,023,600 |
Guaranty Trust Bank (UK) Limited | Guaranty Trust Bank PLC | financial services | anti-money-laundering deficiencies | 2023 | UK-FCA | £7,671,800 |
TSB Bank plc | Banco de Sabadell | financial services | internal controls deficiency | 2022 | UK-FCA | £29,750,000 |
ED&F Man Capital Markets Ltd | | | tax violation | 2023 | UK-FCA | £17,219,300 |
Synergy Land Group Limited | | | investor protection violation | 2023 | UK-FCA | £27,000 |
24HR Trading Academy Ltd. | | | investor protection violation | 2023 | UK-FCA | £106,650 |
Lighthouse Advisory Services Limited | | | investor protection violation | 2023 | UK-FCA | £23,610,000 |
Bastion Capital London Limited | | | anti-money-laundering deficiencies | 2023 | UK-FCA | £2,452,700 |
ADM Investor Services International Limited | Archer Daniels Midland | agribusiness | anti-money-laundering deficiencies | 2023 | UK-FCA | £6,470,600 |
Grant Thornton UK LLP | Grant Thornton | business services | accounting fraud or deficiencies | 2019 | UK-FRC | £422,500 |
KPMG | KPMG | business services | accounting fraud or deficiencies | 2020 | UK-FRC | £455,000 |
KPMG | KPMG | business services | accounting fraud or deficiencies | 2020 | UK-FRC | £0 |
Grant Thornton UK LLP | Grant Thornton | business services | accounting fraud or deficiencies | 2020 | UK-FRC | £1,950,000 |
BDO LLP | BDO International | business services | accounting fraud or deficiencies | 2020 | UK-FRC | £160,000 |
Deloitte LLP | Deloitte | business services | accounting fraud or deficiencies | 2020 | UK-FRC | £20,635,014 |
Deloitte LLP | Deloitte | business services | accounting fraud or deficiencies | 2020 | UK-FRC | £362,500 |
Haysmacintyre LLP | | | accounting fraud or deficiencies | 2021 | UK-FRC | £70,000 |
UHY Hacker Young LLP | UHY Hacker Young | business services | accounting fraud or deficiencies | 2021 | UK-FRC | £0 |
KPMG LLP | KPMG | business services | accounting fraud or deficiencies | 2021 | UK-FRC | £15,450,000 |
KPMG Audit Plc | KPMG | business services | accounting fraud or deficiencies | 2019 | UK-FRC | £3,500,000 |
Deloitte LLP | Deloitte | business services | accounting fraud or deficiencies | 2019 | UK-FRC | £4,525,000 |
KPMG Audit Plc | KPMG | business services | accounting fraud or deficiencies | 2019 | UK-FRC | £4,500,000 |
KPMG Audit Plc | KPMG | business services | accounting fraud or deficiencies | 2019 | UK-FRC | £6,000,000 |
Baker Tilly UK Audit LLP | RSM Group | business services | accounting fraud or deficiencies | 2019 | UK-FRC | £750,000 |
Grant Thornton UK LLP | Grant Thornton | business services | accounting fraud or deficiencies | 2018 | UK-FRC | £3,165,000 |
KPMG Audit Plc | KPMG | business services | accounting fraud or deficiencies | 2018 | UK-FRC | £2,212,000 |
PriceWaterhouseCoopers | PricewaterhouseCoopers | business services | accounting fraud or deficiencies | 2018 | UK-FRC | £10,000,000 |
KPMG LLP | KPMG | business services | accounting fraud or deficiencies | 2018 | UK-FRC | £3,296,000 |
Arrandco Audit Ltd. | | | accounting fraud or deficiencies | 2018 | UK-FRC | £790,000 |
Ernst & Young LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2017 | UK-FRC | £2,025,000 |
PricewaterhouseCoopers LLP | PricewaterhouseCoopers | business services | accounting fraud or deficiencies | 2017 | UK-FRC | £5,600,000 |
PwC LLP | PricewaterhouseCoopers | business services | accounting fraud or deficiencies | 2017 | UK-FRC | £5,000,000 |
Grant Thornton UK LLP | Grant Thornton | business services | accounting fraud or deficiencies | 2017 | UK-FRC | £2,475,000 |
Deloitte LLP | Deloitte | business services | accounting fraud or deficiencies | 2016 | UK-FRC | £6,275,000 |
PricewaterhouseCoopers LLP | PricewaterhouseCoopers | business services | accounting fraud or deficiencies | 2016 | UK-FRC | £3,050,000 |
Moore Stephens (NI) LLP | | | accounting fraud or deficiencies | 2016 | UK-FRC | £140,000 |
Grant Thornton UK LLP | Grant Thornton | business services | accounting fraud or deficiencies | 2015 | UK-FRC | £1,060,000 |
Deloitte & Touche | Deloitte | business services | accounting fraud or deficiencies | 2015 | UK-FRC | £3,000,000 |
KPMG LLP | KPMG | business services | accounting fraud or deficiencies | 2015 | UK-FRC | £227,500 |
KPMG Audit Plc | KPMG | business services | accounting fraud or deficiencies | 2015 | UK-FRC | £162,500 |
Sixonethreeone Limited | | | accounting fraud or deficiencies | 2014 | UK-FRC | £450,000 |
Mazars LLP | Mazars LLP | business services | accounting fraud or deficiencies | 2014 | UK-FRC | £1,870,000 |
RSM Robson Rhodes LLP | Grant Thornton | business services | accounting fraud or deficiencies | 2011 | UK-FRC | £975,000 |
PricewaterhouseCoopers LLP | PricewaterhouseCoopers | business services | accounting fraud or deficiencies | 2019 | UK-FRC | £4,550,000 |
Ernst & Young LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2021 | UK-FRC | £2,205,000 |
Grant Thornton UK LLP | Grant Thornton | business services | accounting fraud or deficiencies | 2021 | UK-FRC | £2,340,000 |
Mazars LLP | Mazars LLP | business services | accounting fraud or deficiencies | 2022 | UK-FRC | £250,000 |
Grant Thornton UK LLP | Grant Thornton | business services | accounting fraud or deficiencies | 2021 | UK-FRC | £1,186,030 |
KPMG LLP | KPMG | business services | accounting fraud or deficiencies | 2022 | UK-FRC | £944,000 |
KPMG LLP | KPMG | business services | accounting fraud or deficiencies | 2022 | UK-FRC | £3,010,000 |
KPMG LLP | KPMG | business services | accounting fraud or deficiencies | 2022 | UK-FRC | £0 |
Mazars LLP | Mazars LLP | business services | accounting fraud or deficiencies | 2022 | UK-FRC | £250,000 |
Grant Thornton UK LLP | Grant Thornton | business services | accounting fraud or deficiencies | 2022 | UK-FRC | £1,323,875 |
UHY Hacker Young LLP | UHY Hacker Young | business services | accounting fraud or deficiencies | 2022 | UK-FRC | £217,500 |
PricewaterhouseCoopers LLP | PricewaterhouseCoopers | business services | accounting fraud or deficiencies | 2022 | UK-FRC | £1,959,750 |
PricewaterhouseCoopers LLP | PricewaterhouseCoopers | business services | accounting fraud or deficiencies | 2022 | UK-FRC | £3,038,750 |
KPMG | KPMG | business services | accounting fraud or deficiencies | 2022 | UK-FRC | £3,375,000 |
Deloitte LLP | Deloitte | business services | accounting fraud or deficiencies | 2022 | UK-FRC | £1,450,000 |
PricewaterhouseCoopers LLP | PricewaterhouseCoopers | business services | accounting fraud or deficiencies | 2022 | UK-FRC | £2,415,000 |
KPMG LLP | KPMG | business services | accounting fraud or deficiencies | 2022 | UK-FRC | £18,667,937 |
Grant Thornton UK LLP | Grant Thornton | business services | accounting fraud or deficiencies | 2022 | UK-FRC | £1,696,149 |
UHY Hacker Young LLP | UHY Hacker Young | business services | accounting fraud or deficiencies | 2022 | UK-FRC | £636,385 |
Deloitte LLP | Deloitte | business services | accounting fraud or deficiencies | 2022 | UK-FRC | £330,000 |
Deloitte LLP | Deloitte | business services | accounting fraud or deficiencies | 2022 | UK-FRC | £906,250 |
PricewaterhouseCoopers LLP | PricewaterhouseCoopers | business services | accounting fraud or deficiencies | 2023 | UK-FRC | £5,625,000 |
KPMG LLP | KPMG | business services | accounting fraud or deficiencies | 2023 | UK-FRC | £1,066,163 |
KPMG LLP | KPMG | business services | accounting fraud or deficiencies | 2023 | UK-FRC | £1,222,180 |
PricewaterhouseCoopers LLP | PricewaterhouseCoopers | business services | accounting fraud or deficiencies | 2023 | UK-FRC | £2,256,625 |
KPMG LLP | KPMG | business services | accounting fraud or deficiencies | 2023 | UK-FRC | £1,197,800 |
Mazars LLP | Mazars LLP | business services | accounting fraud or deficiencies | 2023 | UK-FRC | £72,000 |
KPMG LLP | KPMG | business services | accounting fraud or deficiencies | 2023 | UK-FRC | £23,874,365 |
KPMG Audit Plc | KPMG | business services | accounting fraud or deficiencies | 2023 | UK-FRC | £2,450,000 |
EFG Private Bank Ltd | | | anti-money-laundering deficiencies | 2013 | UK-FSA | £4,200,000 |
The Prudential Assurance Company Limited | M&G PLC | financial services | investor protection violation | 2013 | UK-FSA | £16,000,000 |
Prudential plc | Prudential PLC | financial services | investor protection violation | 2013 | UK-FSA | £14,000,000 |
Care Asset Management Limited | | | investor protection violation | 2013 | UK-FSA | £56,000 |
Lamprell plc | | | investor protection violation | 2013 | UK-FSA | £2,428,300 |
Nestor Healthcare Group Limited | | | investor protection violation | 2013 | UK-FSA | £175,000 |
UBS AG | UBS | financial services | investor protection violation | 2013 | UK-FSA | £9,450,000 |
Cheshire Mortgage Corporation Limited | | | mortgage abuses | 2012 | UK-FSA | £1,225,000 |
UBS AG | UBS | financial services | investor protection violation | 2012 | UK-FSA | £29,700,000 |
Savoy Investment Management Limited | | | investor protection violation | 2012 | UK-FSA | £412,000 |
Plus500UK Limited | Plus500 Limited | financial services | investor protection violation | 2012 | UK-FSA | £205,128 |
James Sharp and Company | | | investor protection violation | 2012 | UK-FSA | £49,000 |
Sun Life Assurance Company of Canada (UK) Limited | Sun Life Financial | financial services | investor protection violation | 2012 | UK-FSA | £600,000 |
Pi Financial Limited | | | investor protection violation | 2012 | UK-FSA | £58,300 |