Basic Search  |  Summaries  |  Advanced Search

Violation Tracker UK Summary for Offence Group

Offence Group: financial offences
Penalty Total since 2010: £3,844,523,618
Number of Penalty Cases: 3,353
Note: Includes records/cases without monetary penalties.
Top 10 Parent CompaniesTotal PenaltyNumber of Cases
UBS£456,138,7768
NatWest Group PLC£363,717,5199
JPMorgan Chase£174,006,2003
Banco Santander£173,488,9006
Deutsche Bank£170,135,0243
Standard Chartered£169,185,0103
Lloyds Banking Group£149,343,6009
Goldman Sachs£148,461,5004
Tesco PLC£148,400,0002
Barclays£144,677,3696

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.

Download results as CSV or XML (maximum 1000; for access to larger downloads contact Phil Mattera)
CompanyParentParent Major Industry sort iconOffence TypeYearAgencyPenalty Amount
Tesco Personal Finance plcTesco PLCretailingprivacy violation2018UK-FCA£16,400,000
Amazon.com Inc.Amazon.comretailinginvestor protection violation2020UK-CMA£55,000
Tesco Stores LimitedTesco PLCretailingaccounting fraud or deficiencies2019UK-SFO£132,000,000
Serco Geografix LtdSerco Groupmiscellaneous servicesfraud2019UK-SFO£91,400,000
Rio Tinto plcRio Tintomining and mineralsaccounting fraud or deficiencies2017UK-FCA£27,385,400
Tracerco LimitedJohnson Mattheymetalseconomic sanction violation2022UK-OFSI£0
Reckitt Benckiser Group PlcReckitt Benckiserhousehold and personal care productsinvestor protection violation2015UK-FCA£539,800
Energy Fitness Professionals LtdTotally PLChealthcare servicestax violations2019UK-HMRC£82,512
DB UK Bank Limited dba DB MortgagesDeutsche Bankfinancial servicesmortgage abuses2010UK-FSA£2,340,000
HSBC Bank plc and HSBC UK Bank plcHSBCfinancial servicesinternal controls deficiency2024UK-PRA£57,417,500
Credit Suisse International and Credit Suisse Securities (Europe) LtdUBSfinancial servicesinternal controls deficiency2023UK-PRA£87,082,000
Charles Schwab UK Ltd.Charles Schwab Corp.financial servicesinvestor protection violation2020UK-FCA£8,963,200
Goldman Sachs InternationalGoldman Sachsfinancial servicesinvestor protection violation2020UK-FCA£48,308,400
Commerzbank AGCommerzbankfinancial servicesanti-money-laundering deficiencies2020UK-FCA£37,805,400
Lloyds Bank plc and Bank of Scotland plc and The Mortgage Business plcLloyds Banking Groupfinancial servicesmortgage abuses2020UK-FCA£64,046,800
Henderson Investment Funds Ltd.Janus Hendersonfinancial servicesinvestor protection violation2019UK-FCA£1,867,900
Tullett Prebon (Europe) LimitedTP ICAP PLCfinancial servicesinvestor protection violation2019UK-FCA£15,400,000
The Prudential Assurance Company LimitedM&G PLCfinancial servicesinvestor protection violation2019UK-FCA£23,875,000
Standard Life Assurance LimitedPhoenix Group Holdings PLCfinancial servicesinvestor protection violation2019UK-FCA£30,792,500
Bank of ScotlandLloyds Banking Groupfinancial servicesbanking violation2019UK-FCA£45,500,000
Standard Chartered BankStandard Charteredfinancial servicesanti-money-laundering deficiencies2019UK-FCA£102,163,200
Goldman Sachs InternationalGoldman Sachsfinancial servicesinvestor protection violation2019UK-FCA£34,344,700
UBS AGUBSfinancial servicesinvestor protection violation2019UK-FCA£27,599,400
Santander UK plcBanco Santanderfinancial servicesbanking violation2018UK-FCA£32,817,800
Interactive Brokers (UK)Interactive Brokers Groupfinancial servicesinvestor protection violation2018UK-FCA£1,049,412
Merrill Lynch InternationalBank of Americafinancial servicesinvestor protection violation2017UK-FCA£34,524,000
Deutsche Bank AGDeutsche Bankfinancial servicesanti-money-laundering deficiencies2017UK-FCA£163,076,224
Aviva Pension Trustees UK Limited and Aviva Wrap UK LimitedAviva PLCfinancial servicesinvestor protection violation2016UK-FCA£8,246,800
Barclays Bank plcBarclaysfinancial servicesanti-money-laundering deficiencies2015UK-FCA£72,069,400
Merrill Lynch InternationalBank of Americafinancial servicesinvestor protection violation2015UK-FCA£13,285,900
The Bank of New York Mellon International Limited et al.Bank of New York Mellonfinancial servicesinvestor protection violation2015UK-FCA£126,000,000
Aviva Investors Global Services LimitedAviva PLCfinancial servicesinvestor protection violation2015UK-FCA£17,607,000
Royal Bank of Scotland Plc and National Westminster Bank Plc and Ulster Bank PlcNatWest Group PLCfinancial servicesbanking violation2014UK-FCA£42,000,000
Chase de Vere Independent Financial Advisers LimitedSwiss Life Groupfinancial servicesinvestor protection violation2014UK-FCA£560,000
Sesame LimitedAviva PLCfinancial servicesinvestor protection violation2014UK-FCA£1,598,000
Yorkshire Building SocietyYorkshire Building Societyfinancial servicesmortgage abuses2014UK-FCA£4,135,600
Barclays Bank plcBarclaysfinancial servicesinvestor protection violation2014UK-FCA£37,745,000
The Royal Bank of Scotland plc and National Westminster Bank PlcNatWest Group PLCfinancial servicesmortgage abuses2014UK-FCA£14,474,600
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 plcVirgin Money UK PLCfinancial 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