| 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 |
| Blackrock Investment Management (UK) Limited | BlackRock | financial services | investor protection violation | 2012 | UK-FSA | £9,533,100 |
| Turkish Bank (UK) Ltd | | | anti-money-laundering deficiencies | 2012 | UK-FSA | £294,000 |
| Mosley & Company | | | investor protection violation | 2012 | UK-FSA | £10,500 |
| Habib Bank AG Zurich | | | anti-money-laundering deficiencies | 2012 | UK-FSA | £525,000 |
| Martin Currie Investment Management Limited and Martin Currie Inc | | | investor protection violation | 2012 | UK-FSA | £3,500,000 |
| Exillon Energy plc | | | investor protection violation | 2012 | UK-FSA | £292,950 |
| Accendo Markets Limited | | | investor protection violation | 2012 | UK-FSA | £56,000 |
| Christchurch Investment Management Limited | | | investor protection violation | 2012 | UK-FSA | £26,600 |
| Coutts & Company | NatWest Group PLC | financial services | anti-money-laundering deficiencies | 2012 | UK-FSA | £8,750,000 |
| Santander UK plc | Banco Santander | financial services | investor protection violation | 2012 | UK-FSA | £1,500,000 |
| 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 | UBS | 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 |
| 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. | UBS | 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 |
| Fides Corporate Services Limited | | | anti-money-laundering deficiencies | 2024 | UK-GFSC | £140,000 |
| 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 |
| Enigma Facilities Management Ltd | | | tax violations | 2023 | UK-HMRC | £1,409,450 |
| Expert Interiors & Cleaning Ltd | | | tax violations | 2023 | UK-HMRC | £104,083 |
| Magic Wok Mei Limited | | | tax violations | 2023 | UK-HMRC | £105,073 |
| Mold Elm Kebab Ltd | | | tax violations | 2023 | UK-HMRC | £113,332 |
| A M A Catering Limited | | | tax violations | 2023 | UK-HMRC | £115,613 |
| Nails@555 Limited fka Nails @5 Limited | | | tax violations | 2023 | UK-HMRC | £116,981 |
