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Violation Tracker UK Summary for Offence Group

Offence Group: financial offences
Penalty Total since 2010£4,178,153,261
Number of Penalty Cases: 3,837
Note: Includes records/cases without monetary penalties.
Top 10 Parent CompaniesTotal PenaltyNumber of Cases
UBS£456,138,7768
NatWest Group PLC£364,725,85610
JPMorgan Chase£174,006,2003
Banco Santander£173,488,9006
Deutsche Bank£170,135,0243
Standard Chartered£169,185,0103
Lloyds Banking Group£149,343,6009
Goldman Sachs£148,461,5004
Tesco PLC£148,400,0002
Barclays£144,677,3696

Individual Penalty Cases:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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CompanyParentParent Major IndustryOffence TypeYearAgency sort iconPenalty Amount
Haines Watts Farnborough LLP accounting fraud or deficiencies2023UK-ICAEW£67,500
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2023UK-ICAEW£201,615
Clarke Nicklin LLP accounting fraud or deficiencies2023UK-ICAEW£28,000
Cheney & Co. accounting fraud or deficiencies2023UK-ICAEW£10,000
Thompson Taraz Rand Audit and Assurance Limited accounting fraud or deficiencies2023UK-ICAEW£3,990
Macalvins Limited accounting fraud or deficiencies2023UK-ICAEW£52,602
BWM Accountants Limited accounting fraud or deficiencies2023UK-ICAEW£3,500
Ward Goodman Accountancy Services Limited accounting fraud or deficiencies2023UK-ICAEW£1,550
Day Accountants Ltd accounting fraud or deficiencies2023UK-ICAEW£1,750
Day Accountants (Herts) Limited accounting fraud or deficiencies2023UK-ICAEW£1,750
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2023UK-ICAEW£123,807
KPMG Audit plcKPMGbusiness servicesaccounting fraud or deficiencies2023UK-ICAEW£106,307
Hayward Wright Ltd accounting fraud or deficiencies2023UK-ICAEW£12,135
MacIntyre Hudson LLP accounting fraud or deficiencies2023UK-ICAEW£20,562
PKF Littlejohn LLP accounting fraud or deficiencies2023UK-ICAEW£12,518
Blu Sky Tax Ltd accounting fraud or deficiencies2023UK-ICAEW£7,000
HW Fisher LLP accounting fraud or deficiencies2023UK-ICAEW£1,153
Dains LLP accounting fraud or deficiencies2023UK-ICAEW£13,500
Menzies LLP accounting fraud or deficiencies2023UK-ICAEW£6,000
Leonard Curtis Recovery Limited accounting fraud or deficiencies2023UK-ICAEW£21,472
Wise & Co accounting fraud or deficiencies2023UK-ICAEW£20,705
BDO LLPBDO Internationalbusiness servicesaccounting fraud or deficiencies2023UK-ICAEW£3,635
Moore Kingston Smith LLP accounting fraud or deficiencies2023UK-ICAEW£28,358
Haysmacintyre LLP accounting fraud or deficiencies2023UK-ICAEW£5,319
HLAS Partners Limited accounting fraud or deficiencies2023UK-ICAEW£316
Exsus UK Ltd accounting fraud or deficiencies2023UK-ICAEW£18,022
Numera Partners LLP accounting fraud or deficiencies2023UK-ICAEW£480
Paul Crowdy Partnership Limited accounting fraud or deficiencies2023UK-ICAEW£2,450
Optimum Probate and Estate Administration accounting fraud or deficiencies2023UK-ICAEW£525
AM Business and Accountancy Services Ltd accounting fraud or deficiencies2023UK-ICAEW£560
A & N (Haslemere) Limited accounting fraud or deficiencies2023UK-ICAEW£1,750
Blackman Terry LLP accounting fraud or deficiencies2023UK-ICAEW£201
Chris Duckett Limited accounting fraud or deficiencies2023UK-ICAEW£234
Sagars Accountants Ltd accounting fraud or deficiencies2023UK-ICAEW£7,500
Alliotts LLP accounting fraud or deficiencies2023UK-ICAEW£1,750
BDO LLPBDO Internationalbusiness servicesaccounting fraud or deficiencies2023UK-ICAEW£49,873
Fisher, Sassoon & Marks accounting fraud or deficiencies2023UK-ICAEW£11,537
RPG Crouch Chapman LLP accounting fraud or deficiencies2023UK-ICAEW£1,439
A P B S Limited accounting fraud or deficiencies2023UK-ICAEW£1,000
Peter Upton Limited accounting fraud or deficiencies2023UK-ICAEW£2,594
RSA Associates accounting fraud or deficiencies2023UK-ICAEW£20,925
Turner Accountancy Limited accounting fraud or deficiencies2020UK-ICAS£1,900
RSM UK Audit LLPRSM Groupbusiness servicesaccounting fraud or deficiencies2020UK-ICAS£104,300
Atkinson Donnelly LLP accounting fraud or deficiencies2019UK-ICAS£2,700
Ross & Company accounting fraud or deficiencies2018UK-ICAS£3,450
James Anderson & Co Limited accounting fraud or deficiencies2016UK-ICAS£1,000
RSM UK Audit LLPRSM Groupbusiness servicesaccounting fraud or deficiencies2022UK-ICAS£136,654
Nedbank Private Wealth Limited anti-money-laundering deficiencies2023UK-IOM£535,185
The Royal Bank of Scotland International LimitedNatWest Group PLCfinancial servicesanti-money-laundering deficiencies2024UK-IOM£1,008,337
Apex Fund Services (IOM) Limited anti-money-laundering deficiencies2018UK-IOM£91,682
Bridgewater (IOM) Limited anti-money-laundering deficiencies2021UK-IOM£225,085
Citadel Insurance Company Limited anti-money-laundering deficiencies2020UK-IOM£2,170
Döhle Yachts Management Services Limited anti-money-laundering deficiencies2023UK-IOM£4,127
Fedelta Trust Limited anti-money-laundering deficiencies2019UK-IOM£51,551
Island Financial Solutions Limited investor protection violation2020UK-IOM£62,996
Isle of Man Assurance Limited anti-money-laundering deficiencies2020UK-IOM£87,108
Isle of Man Insurance Management Limited anti-money-laundering deficiencies2020UK-IOM£7,770
Kestrel Insurance Services Limited anti-money-laundering deficiencies2020UK-IOM£57,927
Standard Bank Isle of Man Limited anti-money-laundering deficiencies2022UK-IOM£247,324
Trident Trust Company (I.O.M.) Limited anti-money-laundering deficiencies2022UK-IOM£295,221
R & M Management (I.O.M.) Limited anti-money-laundering deficiencies2022UK-IOM£7,944
Cornerstone Crew Management (M.I.) Limited anti-money-laundering deficiencies2023UK-IOM£9,659
Y & A Group, LP anti-money-laundering deficiencies2023UK-IOM£28,631
Lloyds Bank Corporate Markets PlcLloyds Banking Groupfinancial servicesanti-money-laundering deficiencies2022UK-JFSC£498,000
IQ EQ (Jersey) Limited banking violation2022UK-JFSC£803,661
Hawksford Trust Company Jersey Limited banking violation2021UK-JFSC£0
Sanne Fiduciary Services Limited banking violation2019UK-JFSC£381,010
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2020UK-OFSI£20,471,810
Telia Carrier UK Limited economic sanction violation2019UK-OFSI£146,341
Travelex UK Ltd economic sanction violation2019UK-OFSI£10,000
Raphael & Sons plc economic sanction violation2019UK-OFSI£5,000
TransferGo Limited economic sanction violation2021UK-OFSI£50,000
Clear Junction Ltd economic sanction violation2021UK-OFSI£36,393
Tracerco LimitedJohnson Mattheymetalseconomic sanction violation2022UK-OFSI£0
Hong Kong International Wine and Spirits Competition Ltd economic sanction violation2022UK-OFSI£30,000
Wise Payments Limited economic sanction violation2023UK-OFSI£0
Jackson Grundy Limited anti-money-laundering deficiencies2014UK-OFT£169,652
Hastings International UK Limited anti-money-laundering deficiencies2014UK-OFT£47,966
Jeffrey Ross Ltd. anti-money-laundering deficiencies2014UK-OFT£29,000
MCO Capital Limited anti-money-laundering deficiencies2013UK-OFT£544,505
IPS Estate Agents Limited anti-money-laundering deficiencies2013UK-OFT£11,844
Wonga.com Ltd. payday lending violation2012UK-OFT£0
Safeloans Ltd. dba Paydayok payday lending violation2010UK-OFT£0
CIM Technologies Ltd. dba Tooth Fairy Finance payday lending violation2010UK-OFT£0
Bazalgette Tunnel Limited accounting fraud or deficiencies2023UK-OFWAT£0
HSBC Bank plc and HSBC UK Bank plcHSBCfinancial servicesinternal controls deficiency2024UK-PRA£57,417,500
Credit Suisse International and Credit Suisse Securities (Europe) LtdUBSfinancial servicesinternal controls deficiency2023UK-PRA£87,082,000
Goldman Sachs InternationalGoldman Sachsfinancial servicesrisk management failure2020UK-PRA£48,308,400
Citigroup Global Markets Limited, Citibank N.A. London branch and Citibank Europe Plc UK branchCitigroupfinancial servicesinternal controls deficiency2019UK-PRA£43,890,000
R. Raphael & Sons plc risk management failure2019UK-PRA£1,112,152
Bank of Tokyo Mitsubishi UFJ LimitedMitsubishi UFJ Financial Groupfinancial servicesinternal controls deficiency2017UK-PRA£17,850,000
MUFG Securities EMEA plcMitsubishi UFJ Financial Groupfinancial servicesinternal controls deficiency2017UK-PRA£8,925,000
QIB (UK) Plc internal controls deficiency2016UK-PRA£1,384,950
Millburn Insurance Company Limited internal controls deficiency2016UK-PRA£2,863,066
R. Raphael & Sons Plc internal controls deficiency2015UK-PRA£1,278,165
Co-operative Bank PlcCo-operative Bankfinancial servicesinternal controls deficiency2015UK-PRA£0
Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd.NatWest Group PLCfinancial servicesinternal controls deficiency2014UK-PRA£14,000,000
Lloyds Banking GroupLloyds Banking Groupfinancial servicesinterest rate benchmark manipulation2014UK-PRA£7,760,000
Metro Bank plcMetro Bank PLCfinancial servicesinternal controls deficiency2021UK-PRA£5,376,000
Standard Chartered BankStandard Charteredfinancial servicesinternal controls deficiency2021UK-PRA£46,550,000
TSB Bank plcBanco de Sabadellfinancial servicesinternal controls deficiency2022UK-PRA£18,900,000