| 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 |
| 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 |
| 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 |
| 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 |
| Amazon.com Inc. | Amazon.com | retailing | investor protection violation | 2020 | UK-CMA | £55,000 |
| PayPal Holdings, Inc. and PayPal (Europe) Sarl et Cie SCA and PayPal SE | PayPal Holdings | financial services | investor protection violation | 2019 | UK-CMA | £250,000 |
| 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 |
| 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 |
| BGC Brokers LP and GFI Brokers Ltd and GFI Securities Ltd | | | investor protection violation | 2022 | UK-FCA | £4,775,200 |
| Pembrokeshire Mortgage Centre Limited | | | investor protection violation | 2022 | UK-FCA | £2,354,331 |
| Julius Baer International Limited | Julius Baer Group | financial services | investor protection violation | 2022 | UK-FCA | £18,022,500 |
| Artemis Trustees Limited | | | investor protection violation | 2022 | UK-GFSC | £450,000 |
| 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 |
| Vida Financial Services Limited | | | investor protection violation | 2019 | UK-GFSC | £30,000 |
| 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 |
| 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 |
| The Channel Islands Stock Exchange, LBG | | | investor protection violation | 2014 | UK-GFSC | £190,000 |
| Synergy Land Group Limited | | | investor protection violation | 2023 | UK-FCA | £27,000 |
| 24HR Trading Academy Ltd. | | | investor protection violation | 2023 | UK-FCA | £106,650 |
| Lighthouse Advisory Services Limited | | | investor protection violation | 2023 | UK-FCA | £23,610,000 |
| Island Financial Solutions Limited | | | investor protection violation | 2020 | UK-IOM | £62,996 |
| 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 |
| Lloyds Banking Group | Lloyds Banking Group | financial services | interest rate benchmark manipulation | 2014 | UK-PRA | £7,760,000 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
