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Violation Tracker UK Summary for Offence Group

Offence Group: financial offences
Penalty Total since 2010: £5,018,782,902
Number of Penalty Cases: 4,198
Note: Includes records/cases without monetary penalties.
Top 10 Parent CompaniesTotal PenaltyNumber of Cases
AstraZeneca£505,000,0001
UBS£456,138,7768
NatWest Group PLC£350,251,2569
Barclays£184,677,3698
JPMorgan Chase£174,006,2003
Banco Santander£173,488,9006
Standard Chartered£169,185,0103
Deutsche Bank£167,795,0242
Goldman Sachs£148,461,5004
HSBC£146,438,3307

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 Industry sort iconOffence TypeYearAgencyPenalty Amount
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2014UK-FCA£4,718,800
Credit Suisse InternationalUBSfinancial servicesinvestor protection violation2014UK-FCA£2,398,100
Yorkshire Building SocietyYorkshire Building Societyfinancial servicesinvestor protection violation2014UK-FCA£1,429,000
Barclays Bank plcBarclaysfinancial servicesinvestor protection violation2014UK-FCA£26,033,500
Invesco Asset Management Limited and Invesco Fund Managers LimitedInvescofinancial servicesinvestor protection violation2014UK-FCA£18,643,000
Santander UK plcBanco Santanderfinancial servicesinvestor protection violation2014UK-FCA£12,377,800
Besso LimitedArdonagh Groupfinancial servicesinvestor protection violation2014UK-FCA£315,000
State Street Bank Europe Limited and State Street Global Markets International LimitedState Street Corp.financial servicesinvestor protection violation2014UK-FCA£22,885,000
Standard Bank PLCIndustrial and Commercial Bank of Chinafinancial servicesanti-money-laundering deficiencies2014UK-FCA£7,640,400
Lloyds Bank plc and Bank of Scotland plcLloyds Banking Groupfinancial servicesinvestor protection violation2013UK-FCA£28,038,800
JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2013UK-FCA£137,610,000
AXA Wealth Services LtdPhoenix Group Holdings PLCfinancial servicesinvestor protection violation2013UK-FCA£1,802,200
Aberdeen Asset Managers Limited and Aberdeen Fund Management LimitedAbrdn PLCfinancial servicesinvestor protection violation2013UK-FCA£7,192,500
Guaranty Trust Bank (UK) LimitedGuaranty Trust Bank PLCfinancial servicesanti-money-laundering deficiencies2013UK-FCA£525,000
The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V.NatWest Group PLCfinancial servicesinvestor protection violation2013UK-FCA£5,620,300
Sesame LimitedAviva PLCfinancial servicesinvestor protection violation2013UK-FCA£6,031,200
J.P. Morgan International Bank LimitedJPMorgan Chasefinancial servicesinvestor protection violation2013UK-FCA£3,076,200
The Prudential Assurance Company LimitedM&G PLCfinancial servicesinvestor protection violation2013UK-FSA£16,000,000
Prudential plcPrudential PLCfinancial servicesinvestor protection violation2013UK-FSA£14,000,000
UBS AGUBSfinancial servicesinvestor protection violation2013UK-FSA£9,450,000
UBS AGUBSfinancial servicesinvestor protection violation2012UK-FSA£29,700,000
Plus500UK LimitedPlus500 Limitedfinancial servicesinvestor protection violation2012UK-FSA£205,128
Sun Life Assurance Company of Canada (UK) LimitedSun Life Financialfinancial servicesinvestor protection violation2012UK-FSA£600,000
Blackrock Investment Management (UK) LimitedBlackRockfinancial servicesinvestor protection violation2012UK-FSA£9,533,100
Coutts & CompanyNatWest Group PLCfinancial servicesanti-money-laundering deficiencies2012UK-FSA£8,750,000
Santander UK plcBanco Santanderfinancial servicesinvestor protection violation2012UK-FSA£1,500,000
Integrated Financial Arrangements plcIntegraFin Holdings PLCfinancial servicesinvestor protection violation2011UK-FSA£3,500,000
HSBC Bank plcHSBCfinancial servicesinvestor protection violation2011UK-FSA£10,500,000
Coutts & CompanyNatWest Group PLCfinancial servicesinvestor protection violation2011UK-FSA£6,300,000
Credit Suisse (UK) LimitedUBSfinancial servicesinvestor protection violation2011UK-FSA£5,950,000
Bank of Scotland PlcLloyds Banking Groupfinancial servicesinvestor protection violation2011UK-FSA£3,500,000
Norwich and Peterborough Building SocietyYorkshire Building Societyfinancial servicesinvestor protection violation2011UK-FSA£1,400,000
Barclays Capital Securities LimitedBarclaysfinancial servicesinvestor protection violation2011UK-FSA£1,127,559
Barclays Bank plcBarclaysfinancial servicesinvestor protection violation2011UK-FSA£7,700,000
Scottish Equitable PLCAegonfinancial servicesinvestor protection violation2010UK-FSA£2,800,000
Goldman Sachs InternationalGoldman Sachsfinancial servicesinvestor protection violation2010UK-FSA£17,500,000
Societe GeneraleSociete Generalefinancial servicesinvestor protection violation2010UK-FSA£1,575,000
The Royal Bank of Scotland plc et al.NatWest Group PLCfinancial servicesanti-money-laundering deficiencies2010UK-FSA£5,600,000
Rowan Dartington & Co LimitedSt. James's Place PLCfinancial servicesinvestor protection violation2010UK-FSA£511,000
Close Investments LimitedClose Brothers Group PLCfinancial servicesinvestor protection violation2010UK-FSA£98,000
J.P. Morgan Securities Ltd.JPMorgan Chasefinancial servicesinvestor protection violation2010UK-FSA£33,320,000
Commerzbank AGCommerzbankfinancial servicesinvestor protection violation2010UK-FSA£595,000
Winterflood Securities LimitedClose Brothers Group PLCfinancial servicesinvestor protection violation2010UK-FSA£4,052,500
Credit Suisse Securities (Europe) Limited et al.UBSfinancial servicesinvestor protection violation2010UK-FSA£1,750,000
Instinet Europe LimitedNomurafinancial servicesinvestor protection violation2010UK-FSA£1,050,000
Standard Life Assurance LimitedPhoenix Group Holdings PLCfinancial servicesinvestor protection violation2010UK-FSA£2,450,000
Danske BankDanske Bankfinancial servicesbanking violation2021UK-CMA£0
Clydesdale Bank plcNationwide Building Societyfinancial servicesbanking violation2021UK-CMA£0
AIB Group (UK) plcAllied Irish Banksfinancial servicesbanking violation2020UK-CMA£0
Lloyds Banking Group plcLloyds Banking Groupfinancial servicesbanking violation2020UK-CMA£0
Royal Bank of Scotland GroupNatWest Group PLCfinancial servicesbanking violation2020UK-CMA£2,200,000
Metro Bank plcMetro Bank PLCfinancial servicesbanking violation2020UK-CMA£11,400,000
Nationwide Building SocietyNationwide Building Societyfinancial servicesbanking violation2020UK-CMA£900,000
Santander UK plcBanco Santanderfinancial servicesbanking violation2019UK-CMA£19,000,000
HSBC Bank plcHSBCfinancial servicesbanking violation2019UK-CMA£8,000,000
PayPal Holdings, Inc. and PayPal (Europe) Sarl et Cie SCA and PayPal SEPayPal Holdingsfinancial servicesinvestor protection violation2019UK-CMA£250,000
Nationwide Building SocietyNationwide Building Societyfinancial servicesbanking violation2019UK-CMA£6,000,000
Barclays Bank UK plc and Barclays Bank plcBarclaysfinancial servicesbanking violation2019UK-CMA£1,910
AIB Group (UK) plc dba First Trust BankAllied Irish Banksfinancial servicesbanking violation2014UK-CMA£0
HSBC Bank plcHSBCfinancial servicesbanking violation2014UK-CMA£0
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2020UK-OFSI£20,471,810
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
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
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
Credit SuisseUBSfinancial servicesbanking violation2021UK-FCA£292,209,276
Sunrise Brokers LLPBGC Partnersfinancial servicesanti-money-laundering deficiencies2021UK-FCA£642,400
Metro Bank plcMetro Bank PLCfinancial servicesinternal controls deficiency2021UK-PRA£5,376,000
Standard Chartered BankStandard Charteredfinancial servicesinternal controls deficiency2021UK-PRA£46,550,000
HSBC Bank plcHSBCfinancial servicesanti-money-laundering deficiencies2021UK-FCA£63,946,800
National Westminster Bank plcNatWest Group PLCfinancial servicesanti-money-laundering deficiencies2021UK-FCA£264,772,619
Danske BankDanske Bankfinancial servicesbanking violation2021UK-CMA£0
Lloyds Banking GroupLloyds Banking Groupfinancial servicesbanking violation2021UK-CMA£0
Santander UK plcBanco Santanderfinancial servicesbanking violation2021UK-CMA£0
Lloyds Banking GroupLloyds Banking Groupfinancial servicesbanking violation2021UK-CMA£0
JLT Specialty LimitedMarsh & McLennanfinancial servicesanti-money-laundering deficiencies2022UK-FCA£7,881,700
GAM International Management LtdGAM Holding AGfinancial servicesinvestor protection violation2022UK-FCA£9,103,523
Citigroup Global Markets LimitedCitigroupfinancial servicesinvestor protection violation2022UK-FCA£12,553,800
Lloyds Bank Corporate Markets PlcLloyds Banking Groupfinancial servicesanti-money-laundering deficiencies2022UK-JFSC£498,000
BNY Mellon Corporate Trustee Services Ltd TCSPBank of New York Mellonfinancial servicesanti-money-laundering deficiencies2021UK-HMRC£9,465
Metro Bank PLCMetro Bank PLCfinancial servicesaccounting fraud or deficiencies2022UK-FCA£10,002,300
Santander UK PlcBanco Santanderfinancial servicesanti-money-laundering deficiencies2022UK-FCA£107,793,300
Julius Baer International LimitedJulius Baer Groupfinancial servicesinvestor protection violation2022UK-FCA£18,022,500
Guaranty Trust Bank (UK) LimitedGuaranty Trust Bank PLCfinancial servicesanti-money-laundering deficiencies2023UK-FCA£7,671,800
TSB Bank plcBanco de Sabadellfinancial servicesinternal controls deficiency2022UK-FCA£29,750,000
Generali Worldwide Insurance Company LimitedAssicurazioni Generalifinancial servicesinsurance violation2013UK-GFSC£150,000
TSB Bank plcBanco de Sabadellfinancial servicesinternal controls deficiency2022UK-PRA£18,900,000
Advinia Care Homes LimitedAdvinia Health Care Limitedhealthcare servicestax violations2024UK-HMRC£145,021
Energy Fitness Professionals LtdTotally PLChealthcare servicestax violations2019UK-HMRC£82,512
Reckitt Benckiser Group PlcReckitt Benckiserhousehold and personal care productsinvestor protection violation2015UK-FCA£539,800
GoogleAlphabet Inc.information technologytax violations2016UK-HMRC£130,000,000
Tracerco LimitedJohnson Mattheymetalseconomic sanction violation2022UK-OFSI£0
Rio Tinto plcRio Tintomining and mineralsaccounting fraud or deficiencies2017UK-FCA£27,385,400
AstraZenecaAstraZenecapharmaceuticalstax violations2010UK-HMRC£505,000,000
Amazon.com Inc.Amazon.comretailinginvestor protection violation2020UK-CMA£55,000
Tesco Stores LimitedTesco PLCretailingaccounting fraud or deficiencies2019UK-SFO£132,000,000