| Bush & Co Limited | | | accounting fraud or deficiencies | 2024 | UK-ICAEW | £2,100 |
| Meadows & Co Limited | | | accounting fraud or deficiencies | 2024 | UK-ICAEW | £1,050 |
| Frost & Company | | | accounting fraud or deficiencies | 2024 | UK-ICAEW | £8,735 |
| Lomas and Company Accountants Limited | | | accounting fraud or deficiencies | 2024 | UK-ICAEW | £13,559 |
| DSG Accountancy and Business Services Limited | | | accounting fraud or deficiencies | 2024 | UK-ICAEW | £15,000 |
| Hillier Hopkins LLP | | | accounting fraud or deficiencies | 2024 | UK-ICAEW | £3,577 |
| Thorne Widgery Accountancy Ltd | | | accounting fraud or deficiencies | 2024 | UK-ICAEW | £4,200 |
| Kilsby & Williams LLP | | | accounting fraud or deficiencies | 2024 | UK-ICAEW | £5,746 |
| Ryecroft Glenton | | | accounting fraud or deficiencies | 2024 | UK-ICAEW | £13,500 |
| Haines Watts Chester Limited | | | accounting fraud or deficiencies | 2024 | UK-ICAEW | £4,000 |
| Croucher Needham (Essex) LLP | | | accounting fraud or deficiencies | 2024 | UK-ICAEW | £0 |
| Clyde & Co LLP | | | anti-money-laundering deficiencies | 2024 | UK-SDT | £628,197 |
| Austen-Jones Solicitors Limited | | | anti-money-laundering deficiencies | 2024 | UK-SRA | £15,202 |
| Clement Hughes & Co | | | anti-money-laundering deficiencies | 2024 | UK-SRA | £9,993 |
| TP Legal Ltd | | | anti-money-laundering deficiencies | 2024 | UK-SRA | £12,181 |
| Carpenter & Co | | | anti-money-laundering deficiencies | 2024 | UK-SRA | £14,122 |
| David Barney & Co | | | anti-money-laundering deficiencies | 2024 | UK-SRA | £17,223 |
| Austins LLP | | | anti-money-laundering deficiencies | 2024 | UK-SRA | £4,893 |
| Hine Downing LLP | | | anti-money-laundering deficiencies | 2024 | UK-SRA | £20,870 |
| McQueen Turner Limited | | | anti-money-laundering deficiencies | 2024 | UK-SRA | £4,240 |
| Beighton Singh Limited | | | anti-money-laundering deficiencies | 2024 | UK-SRA | £19,482 |
| Fairbrother & Darlow | | | anti-money-laundering deficiencies | 2024 | UK-SRA | £17,402 |
| Stephens Wilmot Ltd | | | anti-money-laundering deficiencies | 2024 | UK-SRA | £20,733 |
| Burrows | | | anti-money-laundering deficiencies | 2024 | UK-SRA | £12,989 |
| Westgate Solicitors Limited | | | anti-money-laundering deficiencies | 2023 | UK-SRA | £11,100 |
| Miles Hutchinson & Lithgow | | | anti-money-laundering deficiencies | 2023 | UK-SRA | £3,203 |
| Petrou & Co | | | anti-money-laundering deficiencies | 2023 | UK-SRA | £5,590 |
| Integra Solicitors Limited | | | anti-money-laundering deficiencies | 2023 | UK-SRA | £10,760 |
| TTS Legal Ltd | | | anti-money-laundering deficiencies | 2023 | UK-SRA | £23,216 |
| BDSwiss Holding Plc | | | investor protection violation | 2021 | UK-FCA | £0 |
| Avacade Future Solutions et al. | | | investor protection violation | 2021 | UK-FCA | £0 |
| LJ Financial Planning Ltd. | | | investor protection violation | 2020 | UK-FCA | £107,200 |
| TFS-ICAP Ltd. | | | investor protection violation | 2020 | UK-FCA | £3,444,100 |
| Asia Research and Capital Management Ltd. | | | investor protection violation | 2020 | UK-FCA | £873,118 |
| Cathay International Holdings Limited | | | investor protection violation | 2019 | UK-FCA | £411,000 |
| R. Raphael & Sons plc | | | banking violation | 2019 | UK-FCA | £775,100 |
| Linear Investments Limited | | | investor protection violation | 2019 | UK-FCA | £409,300 |
| Hargreave Hale Ltd | | | insider trading | 2019 | UK-FCA | £306,300 |
| River and Mercantile Asset Management LLP | | | insider trading | 2019 | UK-FCA | £108,600 |
| Canara Bank | | | anti-money-laundering deficiencies | 2018 | UK-FCA | £896,100 |
| Tejoori Limited | | | investor protection violation | 2017 | UK-FCA | £70,000 |
| Sonali Bank (UK) Limited | | | anti-money-laundering deficiencies | 2016 | UK-FCA | £3,250,600 |
| 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 |
| Bank of Beirut (UK) Ltd | | | anti-money-laundering deficiencies | 2015 | UK-FCA | £2,100,000 |
| Execution Noble & Company Limited | | | investor protection violation | 2014 | UK-FCA | £231,000 |
| Forex Capital Markets Ltd and FXCM Securities Ltd | | | investor protection violation | 2014 | UK-FCA | £4,000,000 |
| 7722656 Canada Inc. | | | investor protection violation | 2014 | UK-FCA | £8,000,000 |
| Westwood Independent Financial Planners | | | investor protection violation | 2013 | UK-FCA | £100,000 |
| SEI Investments (Europe) Limited | | | investor protection violation | 2013 | UK-FCA | £900,200 |
| Xcap Securities PLC | | | investor protection violation | 2013 | UK-FCA | £120,900 |
| Haysmacintyre LLP | | | accounting fraud or deficiencies | 2021 | UK-FRC | £70,000 |
| Arrandco Audit Ltd. | | | accounting fraud or deficiencies | 2018 | UK-FRC | £790,000 |
| Moore Stephens (NI) LLP | | | accounting fraud or deficiencies | 2016 | UK-FRC | £140,000 |
| Sixonethreeone Limited | | | accounting fraud or deficiencies | 2014 | UK-FRC | £450,000 |
| EFG Private Bank Ltd | | | anti-money-laundering deficiencies | 2013 | UK-FSA | £4,200,000 |
| 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 |
| Cheshire Mortgage Corporation Limited | | | mortgage abuses | 2012 | UK-FSA | £1,225,000 |
| Savoy Investment Management Limited | | | investor protection violation | 2012 | UK-FSA | £412,000 |
| James Sharp and Company | | | investor protection violation | 2012 | UK-FSA | £49,000 |
| Pi Financial Limited | | | investor protection violation | 2012 | UK-FSA | £58,300 |
| Turkish Bank (UK) Ltd | | | anti-money-laundering deficiencies | 2012 | UK-FSA | £294,000 |
| Mosley & Company | | | investor protection violation | 2012 | UK-FSA | £10,500 |
| Habib Bank AG Zurich | | | anti-money-laundering deficiencies | 2012 | UK-FSA | £525,000 |
| 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 |
| Greenlight Capital Inc. | | | insider trading | 2012 | UK-FSA | £3,650,795 |
| Topps Rogers Financial Management | | | investor protection violation | 2012 | UK-FSA | £97,600 |
| McInroy & Wood Limited | | | investor protection violation | 2011 | UK-FSA | £15,050 |
| Towry Investment Management Limited | | | investor protection violation | 2011 | UK-FSA | £494,900 |
| Rockingham Independent Limited | | | investor protection violation | 2011 | UK-FSA | £35,000 |
| Lewis Partnership | | | mortgage abuses | 2011 | UK-FSA | £106,499 |
| Swift 1st Limited | | | mortgage abuses | 2011 | UK-FSA | £630,000 |
| Fox Hayes | | | investor protection violation | 2011 | UK-FSA | £454,770 |
| Specialist Solutions plc | | | investor protection violation | 2011 | UK-FSA | £35,000 |
| ActivTrades Plc | | | investor protection violation | 2011 | UK-FSA | £85,750 |
| Cricket Hill Financial Planning Limited | | | investor protection violation | 2011 | UK-FSA | £70,000 |
| JJB Sports plc | | | investor protection violation | 2011 | UK-FSA | £455,000 |
| Perspective Financial Management Limited | | | investor protection violation | 2011 | UK-FSA | £49,000 |
| City Index Limited | | | investor protection violation | 2011 | UK-FSA | £490,000 |
| Property Park Mortgages | | | mortgage abuses | 2010 | UK-FSA | £104,294 |
| Bridging Loans Ltd | | | mortgage abuses | 2010 | UK-FSA | £42,000 |
| Thorntons Law LLP | | | investor protection violation | 2010 | UK-FSA | £35,000 |
| Moneywise IFA Limited | | | investor protection violation | 2010 | UK-FSA | £19,600 |
| Redstone Mortgages Limited | | | mortgage abuses | 2010 | UK-FSA | £630,000 |
| 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 |
| Atlantic Law LLP | | | investor protection violation | 2010 | UK-FSA | £200,000 |
| Alpari (UK) Limited | | | anti-money-laundering deficiencies | 2010 | UK-FSA | £140,000 |
| Hythe Securities Limited | | | investor protection violation | 2010 | UK-FSA | £200,000 |
| Kensington Mortgage Company Limited | | | mortgage abuses | 2010 | UK-FSA | £1,225,000 |
