Greenlight Capital Inc. | | | insider trading | 2012 | UK-FSA | £3,650,795 |
Topps Rogers Financial Management | | | investor protection violation | 2012 | UK-FSA | £97,600 |
Integrated Financial Arrangements plc | IntegraFin Holdings PLC | financial services | investor protection violation | 2011 | UK-FSA | £3,500,000 |
HSBC Bank plc | HSBC | financial services | investor protection violation | 2011 | UK-FSA | £10,500,000 |
McInroy & Wood Limited | | | investor protection violation | 2011 | UK-FSA | £15,050 |
Coutts & Company | NatWest Group PLC | financial services | investor protection violation | 2011 | UK-FSA | £6,300,000 |
Credit Suisse (UK) Limited | Credit Suisse | financial services | investor protection violation | 2011 | UK-FSA | £5,950,000 |
Towry Investment Management Limited | | | investor protection violation | 2011 | UK-FSA | £494,900 |
Rockingham Independent Limited | | | investor protection violation | 2011 | UK-FSA | £35,000 |
Lewis Partnership | | | mortgage abuses | 2011 | UK-FSA | £106,499 |
Swift 1st Limited | | | mortgage abuses | 2011 | UK-FSA | £630,000 |
Fox Hayes | | | investor protection violation | 2011 | UK-FSA | £454,770 |
Bank of Scotland Plc | Lloyds Banking Group | financial services | investor protection violation | 2011 | UK-FSA | £3,500,000 |
Norwich and Peterborough Building Society | Yorkshire Building Society | financial services | investor protection violation | 2011 | UK-FSA | £1,400,000 |
Specialist Solutions plc | | | investor protection violation | 2011 | UK-FSA | £35,000 |
ActivTrades Plc | | | investor protection violation | 2011 | UK-FSA | £85,750 |
Cricket Hill Financial Planning Limited | | | investor protection violation | 2011 | UK-FSA | £70,000 |
Barclays Capital Securities Limited | Barclays | financial services | investor protection violation | 2011 | UK-FSA | £1,127,559 |
JJB Sports plc | | | investor protection violation | 2011 | UK-FSA | £455,000 |
Perspective Financial Management Limited | | | investor protection violation | 2011 | UK-FSA | £49,000 |
City Index Limited | | | investor protection violation | 2011 | UK-FSA | £490,000 |
Barclays Bank plc | Barclays | financial services | investor protection violation | 2011 | UK-FSA | £7,700,000 |
Scottish Equitable PLC | Aegon | financial services | investor protection violation | 2010 | UK-FSA | £2,800,000 |
DB UK Bank Limited dba DB Mortgages | Deutsche Bank | financial services | mortgage abuses | 2010 | UK-FSA | £840,000 |
Property Park Mortgages | | | mortgage abuses | 2010 | UK-FSA | £104,294 |
Bridging Loans Ltd | | | mortgage abuses | 2010 | UK-FSA | £42,000 |
Thorntons Law LLP | | | investor protection violation | 2010 | UK-FSA | £35,000 |
Goldman Sachs International | Goldman Sachs | financial services | investor protection violation | 2010 | UK-FSA | £17,500,000 |
Moneywise IFA Limited | | | investor protection violation | 2010 | UK-FSA | £19,600 |
Societe Generale | Societe Generale | financial services | investor protection violation | 2010 | UK-FSA | £1,575,000 |
The Royal Bank of Scotland plc et al. | NatWest Group PLC | financial services | anti-money-laundering deficiencies | 2010 | UK-FSA | £5,600,000 |
Redstone Mortgages Limited | | | mortgage abuses | 2010 | UK-FSA | £630,000 |
Photo-Me International plc | | | investor protection violation | 2010 | UK-FSA | £500,000 |
N-Hanced LLP | | | investor protection violation | 2010 | UK-FSA | £21,000 |
Vantage Capital Market LLP | | | investor protection violation | 2010 | UK-FSA | £700,000 |
Rowan Dartington & Co Limited | St. James's Place PLC | financial services | investor protection violation | 2010 | UK-FSA | £511,000 |
Close Investments Limited | Close Brothers Group PLC | financial services | investor protection violation | 2010 | UK-FSA | £98,000 |
J.P. Morgan Securities Ltd. | JPMorgan Chase | financial services | investor protection violation | 2010 | UK-FSA | £33,320,000 |
Atlantic Law LLP | | | investor protection violation | 2010 | UK-FSA | £200,000 |
Alpari (UK) Limited | | | anti-money-laundering deficiencies | 2010 | UK-FSA | £140,000 |
Commerzbank AG | Commerzbank | financial services | investor protection violation | 2010 | UK-FSA | £595,000 |
Winterflood Securities Limited | Close Brothers Group PLC | financial services | investor protection violation | 2010 | UK-FSA | £4,052,500 |
Hythe Securities Limited | | | investor protection violation | 2010 | UK-FSA | £200,000 |
Kensington Mortgage Company Limited | | | mortgage abuses | 2010 | UK-FSA | £1,225,000 |
Credit Suisse Securities (Europe) Limited et al. | Credit Suisse | financial services | investor protection violation | 2010 | UK-FSA | £1,750,000 |
Getco Europe Limited | | | investor protection violation | 2010 | UK-FSA | £1,400,000 |
Instinet Europe Limited | Nomura | financial services | investor protection violation | 2010 | UK-FSA | £1,050,000 |
Robin Bradford (Life and Pension Consultants) Ltd | | | investor protection violation | 2010 | UK-FSA | £24,500 |
RSM Tenon Financial Services Limited | RSM Group | business services | investor protection violation | 2010 | UK-FSA | £700,000 |
Direct Sharedeal Limited | | | investor protection violation | 2010 | UK-FSA | £101,500 |
Sett Valley Insurance Services | | | investor protection violation | 2010 | UK-FSA | £28,000 |
Standard Life Assurance Limited | Phoenix Group Holdings PLC | financial services | investor protection violation | 2010 | UK-FSA | £2,450,000 |
Crescendo Advisors International Limited | | | anti-money-laundering deficiencies | 2022 | UK-GFSC | £203,000 |
Artemis Trustees Limited | | | investor protection violation | 2022 | UK-GFSC | £450,000 |
Hansard Limited | | | anti-money-laundering deficiencies | 2021 | UK-GFSC | £140,000 |
Safehaven International Limited | | | anti-money-laundering deficiencies | 2020 | UK-GFSC | £100,000 |
Global Insurance Group Limited | | | insurance violation | 2020 | UK-GFSC | £42,000 |
Standard Chartered Trust (Guernsey) Limited | | | anti-money-laundering deficiencies | 2020 | UK-GFSC | £140,000 |
Criteria Wealth Management Limited | | | investor protection violation | 2020 | UK-GFSC | £0 |
Louvre Fund Services Limited | | | investor protection violation | 2020 | UK-GFSC | £77,000 |
Certes Capital Limited (formerly Marlborough Pension Trustees Limited) | | | investor protection violation | 2019 | UK-GFSC | £0 |
Louvre Trust (Guernsey Limited) | | | anti-money-laundering deficiencies | 2019 | UK-GFSC | £70,000 |
Vida Financial Services Limited | | | investor protection violation | 2019 | UK-GFSC | £30,000 |
Richmond Fiduciary Group Limited | | | anti-money-laundering deficiencies | 2018 | UK-GFSC | £45,500 |
Blenheim Fiduciary Group Limited | | | anti-money-laundering deficiencies | 2017 | UK-GFSC | £70,000 |
Capital Solutions Limited | | | investor protection violation | 2017 | UK-GFSC | £0 |
Marlborough Trust Company Limited | | | investor protection violation | 2016 | UK-GFSC | £100,000 |
Louvre Fund Services Limited | | | investor protection violation | 2016 | UK-GFSC | £42,000 |
Bordeaux Services (Guernsey) Limited | | | investor protection violation | 2016 | UK-GFSC | £100,000 |
Provident Trustees (Guernsey) Limited | | | anti-money-laundering deficiencies | 2016 | UK-GFSC | £42,000 |
Guernsey Financial Consultants Limited | | | investor protection violation | 2015 | UK-GFSC | £42,000 |
Woodlock Financial Services (1998) Limited | | | investor protection violation | 2015 | UK-GFSC | £28,000 |
Guernsey Insurance Brokers Limited | | | investor protection violation | 2014 | UK-GFSC | £8,000 |
Ahli United Bank (UK) PLC | | | anti-money-laundering deficiencies | 2014 | UK-GFSC | £70,000 |
Willow Trust Limited | | | anti-money-laundering deficiencies | 2014 | UK-GFSC | £30,000 |
The Channel Islands Stock Exchange, LBG | | | investor protection violation | 2014 | UK-GFSC | £190,000 |
Generali Worldwide Insurance Company Limited | Assicurazioni Generali | financial services | insurance violation | 2013 | UK-GFSC | £150,000 |
Shenzhen Qiao Zhuo E-Commerce Ltd | | | tax violations | 2019 | UK-HMRC | £1,411,508 |
Data Market Group Ltd | | | tax violations | 2019 | UK-HMRC | £531,004 |
eDistribute Ltd | | | tax violations | 2019 | UK-HMRC | £470,757 |
Albert Spratt Construction | | | tax violations | 2019 | UK-HMRC | £455,854 |
Sosia Constructions UK Ltd | | | tax violations | 2019 | UK-HMRC | £454,201 |
William Firth & Son Limited | | | tax violations | 2019 | UK-HMRC | £423,339 |
Alppa Pan | | | tax violations | 2019 | UK-HMRC | £291,155 |
Golden 77 Limited | | | tax violations | 2019 | UK-HMRC | £281,451 |
Allyan Ltd dba Canton Cuisine | | | tax violations | 2019 | UK-HMRC | £249,339 |
AWM Accountant and Tax Advisors | | | tax violations | 2019 | UK-HMRC | £244,445 |
Deluxe Printers Ltd | | | tax violations | 2019 | UK-HMRC | £243,278 |
Haweli Twyford Ltd | | | tax violations | 2019 | UK-HMRC | £240,095 |
MDistribution Limited dba Milano Pizza | | | tax violations | 2019 | UK-HMRC | £179,261 |
Elite-Energy Recruitment Ltd | | | tax violations | 2019 | UK-HMRC | £168,521 |
Einvoicing Limited fka UK Express Delivery Limited | | | tax violations | 2019 | UK-HMRC | £127,379 |
Bilston High Street Fish Bar Ltd | | | tax violations | 2019 | UK-HMRC | £113,020 |
Beycafe Ltd dba Frenchgate Cafe | | | tax violations | 2019 | UK-HMRC | £112,984 |
Rocco Fashion Limited | | | tax violations | 2019 | UK-HMRC | £109,231 |
Carr's BK Ltd | | | tax violations | 2019 | UK-HMRC | £105,395 |
Liu Tang Ltd dba Sukho Fine Thai Cuisine | | | tax violations | 2019 | UK-HMRC | £98,302 |
Newhold Limited | | | tax violations | 2019 | UK-HMRC | £86,988 |
FM Software Ltd | | | tax violations | 2019 | UK-HMRC | £86,139 |
Olympus Eyewear Europe Ltd | | | tax violations | 2019 | UK-HMRC | £85,766 |
Porton Biopharma Limited | | | tax violations | 2019 | UK-HMRC | £80,361 |