| 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 |
| NMC Health Plc | | | investor protection violation | 2023 | UK-FCA | £0 |
| Inspirational Financial Management Ltd | | | investor protection violation | 2024 | UK-FCA | £897,840 |
| Argento Wealth Ltd | | | investor protection violation | 2024 | UK-FCA | £1,600,000 |
| Link Fund Solutions | | | investor protection violation | 2024 | UK-FCA | £298,404,919 |
| 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 | UBS | 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 | Ardonagh Group | 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 | Industrial and Commercial Bank of China | 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 | UBS | 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 |
| 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 |
