| Gabba Consultancy Ltd ASP | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,750 |
| Houston Lawrence (Wimbledon) Limited ASP | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,750 |
| Insight Accountancy Limited ASP | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,750 |
| J R & M McGinty ASP | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,750 |
| Management Of Accounts and Payroll Limited ASP | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,750 |
| Mazters Ltd EAB | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,750 |
| OnTax Accountants Ltd ASP | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,750 |
| Primestay London Ltd EAB | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,750 |
| Saxons Lettings & Management Limited EAB | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,750 |
| SCR Business Services Limited ASP | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,750 |
| Soul Estates Limited EAB | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,750 |
| Stibbards’ Property Limited EAB | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,750 |
| Summit Financial Consulting Limited ASP | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,750 |
| Your Property Geeks Ltd EAB | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,750 |
| Kandaka Ltd MSB | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,740 |
| Media Station Ltd ASP | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,650 |
| Tidal Estates And Lettings Limited EAB | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,650 |
| Woodplumpton Accounting Limited ASP | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,585 |
| AGM Accounting Services LTD ASP | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,550 |
| Oaklands Estates Ltd EAB | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,526 |
| TNR Property Ltd EAB | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,500 |
| Hargreave Music Management ASP | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,439 |
| Leeds Accommodation Bureau EAB | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £2,233 |
| Kaz Accountancy Services Limited ASP | | | anti-money-laundering deficiencies | 2023 | UK-HMRC | £1,500 |
| Cornerstone Crew Management (M.I.) Limited | | | anti-money-laundering deficiencies | 2023 | UK-IOM | £9,659 |
| Y & A Group, LP | | | anti-money-laundering deficiencies | 2023 | UK-IOM | £28,631 |
| 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 |
| Santander UK plc | Banco Santander | financial services | banking violation | 2018 | UK-FCA | £32,817,800 |
| 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 |
| Danske Bank | Danske Bank | financial services | banking violation | 2021 | UK-CMA | £0 |
| Clydesdale Bank plc | Virgin Money UK PLC | financial services | banking violation | 2021 | UK-CMA | £0 |
| AIB Group (UK) plc | Allied Irish Banks | financial services | banking violation | 2020 | UK-CMA | £0 |
| Lloyds Banking Group plc | Lloyds Banking Group | financial services | banking violation | 2020 | UK-CMA | £0 |
| Royal Bank of Scotland Group | NatWest Group PLC | financial services | banking violation | 2020 | UK-CMA | £2,200,000 |
| Metro Bank plc | Metro Bank PLC | financial services | banking violation | 2020 | UK-CMA | £11,400,000 |
| Nationwide Building Society | Nationwide Building Society | financial services | banking violation | 2020 | UK-CMA | £900,000 |
| Santander UK plc | Banco Santander | financial services | banking violation | 2019 | UK-CMA | £19,000,000 |
| HSBC Bank plc | HSBC | financial services | banking violation | 2019 | UK-CMA | £8,000,000 |
| Nationwide Building Society | Nationwide Building Society | financial services | banking violation | 2019 | UK-CMA | £6,000,000 |
| Barclays Bank UK plc and Barclays Bank plc | Barclays | financial services | banking violation | 2019 | UK-CMA | £1,910 |
| AIB Group (UK) plc dba First Trust Bank | Allied Irish Banks | financial services | banking violation | 2014 | UK-CMA | £0 |
| HSBC Bank plc | HSBC | financial services | banking violation | 2014 | UK-CMA | £0 |
| Credit Suisse | UBS | financial services | banking violation | 2021 | UK-FCA | £292,209,276 |
| Danske Bank | Danske Bank | financial services | banking violation | 2021 | UK-CMA | £0 |
| Lloyds Banking Group | Lloyds Banking Group | financial services | banking violation | 2021 | UK-CMA | £0 |
| Santander UK plc | Banco Santander | financial services | banking violation | 2021 | UK-CMA | £0 |
| Lloyds Banking Group | Lloyds Banking Group | financial services | banking violation | 2021 | UK-CMA | £0 |
| IQ EQ (Jersey) Limited | | | banking violation | 2022 | UK-JFSC | £803,661 |
| Hawksford Trust Company Jersey Limited | | | banking violation | 2021 | UK-JFSC | £0 |
| Sanne Fiduciary Services Limited | | | banking violation | 2019 | UK-JFSC | £381,010 |
| 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 sanction violation | 2022 | UK-OFSI | £0 |
| Hong Kong International Wine and Spirits Competition Ltd | | | economic sanction violation | 2022 | UK-OFSI | £30,000 |
| Wise Payments Limited | | | economic sanction violation | 2023 | UK-OFSI | £0 |
| Serco Geografix Ltd | Serco Group | miscellaneous services | fraud | 2019 | UK-SFO | £91,400,000 |
| G4S Care and Justice Services (UK) Ltd | Allied Universal Security Services | business services | fraud | 2020 | UK-SFO | £44,400,000 |
| 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 |
| HSBC Bank plc and HSBC UK Bank plc | HSBC | financial services | internal controls deficiency | 2024 | UK-PRA | £57,417,500 |
| Credit Suisse International and Credit Suisse Securities (Europe) Ltd | UBS | financial services | internal controls deficiency | 2023 | UK-PRA | £87,082,000 |
| 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 |
| 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 |
| 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 |
