| Standard Chartered Bank | Standard Chartered | financial services | economic sanction violation | 2020 | UK-OFSI | £20,471,810 |
| Telia Carrier UK Limited | | | economic sanction violation | 2019 | UK-OFSI | £146,341 |
| Travelex UK Ltd | | | economic sanction violation | 2019 | UK-OFSI | £10,000 |
| Raphael & Sons plc | | | economic sanction violation | 2019 | UK-OFSI | £5,000 |
| TransferGo Limited | | | economic sanction violation | 2021 | UK-OFSI | £50,000 |
| Clear Junction Ltd | | | economic sanction violation | 2021 | UK-OFSI | £36,393 |
| Tracerco Limited | Johnson Matthey | metals | economic sanctions violation | 2022 | UK-OFSI | £0 |
| Hong Kong International Wine and Spirits Competition Ltd | | | economic sanctions violation | 2022 | UK-OFSI | £30,000 |
| G4S Care and Justice Services (UK) Ltd | Allied Universal Security Services | business services | fraud | 2020 | UK-SFO | £44,400,000 |
| Serco Geografix Ltd | Serco Group | miscellaneous services | fraud | 2019 | UK-SFO | £22,900,000 |
| Hargreave Hale Ltd | | | insider trading | 2019 | UK-FCA | £306,300 |
| River and Mercantile Asset Management LLP | | | insider trading | 2019 | UK-FCA | £108,600 |
| Greenlight Capital Inc. | | | insider trading | 2012 | UK-FSA | £3,650,795 |
| Global Insurance Group Limited | | | insurance violation | 2020 | UK-GFSC | £42,000 |
| Generali Worldwide Insurance Company Limited | Assicurazioni Generali | financial services | insurance violation | 2013 | UK-GFSC | £150,000 |
| Lloyds Banking Group | Lloyds Banking Group | financial services | interest rate benchmark manipulation | 2014 | UK-PRA | £7,760,000 |
| Citigroup Global Markets Limited, Citibank N.A. London branch and Citibank Europe Plc UK branch | Citigroup | financial services | internal controls deficiency | 2019 | UK-PRA | £43,890,000 |
| Bank of Tokyo Mitsubishi UFJ Limited | Mitsubishi UFJ Financial Group | financial services | internal controls deficiency | 2017 | UK-PRA | £17,850,000 |
| MUFG Securities EMEA plc | Mitsubishi UFJ Financial Group | financial services | internal controls deficiency | 2017 | UK-PRA | £8,925,000 |
| QIB (UK) Plc | | | internal controls deficiency | 2016 | UK-PRA | £1,384,950 |
| Millburn Insurance Company Limited | | | internal controls deficiency | 2016 | UK-PRA | £2,863,066 |
| R. Raphael & Sons Plc | | | internal controls deficiency | 2015 | UK-PRA | £1,278,165 |
| Co-operative Bank Plc | Co-operative Bank | financial services | internal controls deficiency | 2015 | UK-PRA | £0 |
| Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd. | NatWest Group PLC | financial services | internal controls deficiency | 2014 | UK-PRA | £14,000,000 |
| Metro Bank plc | Metro Bank PLC | financial services | internal controls deficiency | 2021 | UK-PRA | £5,376,000 |
| Standard Chartered Bank | Standard Chartered | financial services | internal controls deficiency | 2021 | UK-PRA | £46,550,000 |
| TSB Bank plc | Banco de Sabadell | financial services | internal controls deficiency | 2022 | UK-FCA | £29,750,000 |
| TSB Bank plc | Banco de Sabadell | financial services | internal controls deficiency | 2022 | UK-PRA | £18,900,000 |
| 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 |
| 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 |
| Linear Investments Limited | | | investor protection violation | 2019 | UK-FCA | £409,300 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| Barclays Bank plc | Barclays | financial services | investor protection violation | 2014 | UK-FCA | £37,745,000 |
| 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 | BGC Partners | 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| Mosley & Company | | | investor protection violation | 2012 | UK-FSA | £10,500 |
| 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 |
| Santander UK plc | Banco Santander | financial services | investor protection violation | 2012 | UK-FSA | £1,500,000 |
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