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Violation Tracker UK Summary for Offence Group

Offence Group: financial offences
Penalty Total since 2010£4,178,153,261
Number of Penalty Cases: 3,837
Note: Includes records/cases without monetary penalties.
Top 10 Parent CompaniesTotal PenaltyNumber of Cases
UBS£456,138,7768
NatWest Group PLC£364,725,85610
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.

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CompanyParentParent Major IndustryOffence TypeYearAgencyPenalty Amount sort icon
Sonali Bank (UK) Limited anti-money-laundering deficiencies2016UK-FCA£3,250,600
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2018UK-FRC£3,296,000
JBK Constructions Ltd tax violations2024UK-HMRC£3,319,617
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2022UK-FRC£3,375,000
TFS-ICAP Ltd. investor protection violation2020UK-FCA£3,444,100
Ezy Drinks Ltd tax violations2017UK-HMRC£3,482,016
Fowler Oldfield Ltd tax violations2017UK-HMRC£3,488,081
KPMG Audit PlcKPMGbusiness servicesaccounting fraud or deficiencies2019UK-FRC£3,500,000
Martin Currie Investment Management Limited and Martin Currie Inc investor protection violation2012UK-FSA£3,500,000
Integrated Financial Arrangements plcIntegraFin Holdings PLCfinancial servicesinvestor protection violation2011UK-FSA£3,500,000
Bank of Scotland PlcLloyds Banking Groupfinancial servicesinvestor protection violation2011UK-FSA£3,500,000
Greenlight Capital Inc. insider trading2012UK-FSA£3,650,795
Jedirect Corp tax violations2021UK-HMRC£3,740,541
Forex Capital Markets Ltd and FXCM Securities Ltd investor protection violation2014UK-FCA£4,000,000
Al Rayan Bank PLC anti-money-laundering deficiencies2023UK-FCA£4,023,600
Winterflood Securities LimitedClose Brothers Group PLCfinancial servicesinvestor protection violation2010UK-FSA£4,052,500
Yorkshire Building SocietyYorkshire Building Societyfinancial servicesmortgage abuses2014UK-FCA£4,135,600
EFG Private Bank Ltd anti-money-laundering deficiencies2013UK-FSA£4,200,000
Carlton Buildings tax violations2023UK-HMRC£4,225,950
Business Networks Management Ltd dba Zambezi Business Mangement Ltd tax violations2018UK-HMRC£4,351,395
Skelwith Leisure (Raithwaite) Ltd tax violations2017UK-HMRC£4,493,791
KPMG Audit PlcKPMGbusiness servicesaccounting fraud or deficiencies2019UK-FRC£4,500,000
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2019UK-FRC£4,525,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2019UK-FRC£4,550,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2024UK-FRC£4,649,639
Asia Resource Minerals plc fka Bumi plc investor protection violation2015UK-FCA£4,651,200
Universal Project Services Ltd tax violations2018UK-HMRC£4,651,334
Premier Metals (Leeds) Ltd tax violations2017UK-HMRC£4,685,825
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2014UK-FCA£4,718,800
BGC Brokers LP and GFI Brokers Ltd and GFI Securities Ltd investor protection violation2022UK-FCA£4,775,200
Mineworld Limited investor protection violation2015UK-FCA£5,000,000
PwC LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017UK-FRC£5,000,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2024UK-FRC£5,173,730
I Hami Creative Company Limited tax violations2018UK-HMRC£5,219,425
Metro Bank plcMetro Bank PLCfinancial servicesinternal controls deficiency2021UK-PRA£5,376,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017UK-FRC£5,600,000
The Royal Bank of Scotland plc et al.NatWest Group PLCfinancial servicesanti-money-laundering deficiencies2010UK-FSA£5,600,000
The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V.NatWest Group PLCfinancial servicesinvestor protection violation2013UK-FCA£5,620,300
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2023UK-FRC£5,625,000
CMS Metals Ltd tax violations2017UK-HMRC£5,774,265
Ghana International Bank Plc anti-money-laundering deficiencies2022UK-FCA£5,829,900
Credit Suisse (UK) LimitedUBSfinancial servicesinvestor protection violation2011UK-FSA£5,950,000
KPMG Audit PlcKPMGbusiness servicesaccounting fraud or deficiencies2019UK-FRC£6,000,000
Nationwide Building SocietyNationwide Building Societyfinancial servicesbanking violation2019UK-CMA£6,000,000
Sesame LimitedAviva PLCfinancial servicesinvestor protection violation2013UK-FCA£6,031,200
Threadneedle Asset Management Limited investor protection violation2015UK-FCA£6,038,504
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2016UK-FRC£6,275,000
Coutts & CompanyNatWest Group PLCfinancial servicesinvestor protection violation2011UK-FSA£6,300,000
ADM Investor Services International LimitedArcher Daniels Midlandagribusinessanti-money-laundering deficiencies2023UK-FCA£6,470,600
Aberdeen Asset Managers Limited and Aberdeen Fund Management LimitedAbrdn PLCfinancial servicesinvestor protection violation2013UK-FCA£7,192,500
Universal Payroll Services Ltd tax violations2018UK-HMRC£7,224,151
Standard Bank PLCIndustrial and Commercial Bank of Chinafinancial servicesanti-money-laundering deficiencies2014UK-FCA£7,640,400
Guaranty Trust Bank (UK) LimitedGuaranty Trust Bank PLCfinancial servicesanti-money-laundering deficiencies2023UK-FCA£7,671,800
Barclays Bank plcBarclaysfinancial servicesinvestor protection violation2011UK-FSA£7,700,000
Lloyds Banking GroupLloyds Banking Groupfinancial servicesinterest rate benchmark manipulation2014UK-PRA£7,760,000
JLT Specialty LimitedMarsh & McLennanfinancial servicesanti-money-laundering deficiencies2022UK-FCA£7,881,700
7722656 Canada Inc. investor protection violation2014UK-FCA£8,000,000
HSBC Bank plcHSBCfinancial servicesbanking violation2019UK-CMA£8,000,000
Aviva Pension Trustees UK Limited and Aviva Wrap UK LimitedAviva PLCfinancial servicesinvestor protection violation2016UK-FCA£8,246,800
Gibson Global Ltd tax violations2021UK-HMRC£8,552,226
Coutts & CompanyNatWest Group PLCfinancial servicesanti-money-laundering deficiencies2012UK-FSA£8,750,000
MUFG Securities EMEA plcMitsubishi UFJ Financial Groupfinancial servicesinternal controls deficiency2017UK-PRA£8,925,000
Charles Schwab UK Ltd.Charles Schwab Corp.financial servicesinvestor protection violation2020UK-FCA£8,963,200
GAM International Management LtdGAM Holding AGfinancial servicesinvestor protection violation2022UK-FCA£9,103,523
UBS AGUBSfinancial servicesinvestor protection violation2013UK-FSA£9,450,000
Aster and Young Limited. Formerly known as SCC Trading Limited and formerly known as Centric Management Services Limited. tax violations2022UK-HMRC£9,504,557
Blackrock Investment Management (UK) LimitedBlackRockfinancial servicesinvestor protection violation2012UK-FSA£9,533,100
PriceWaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2018UK-FRC£10,000,000
Metro Bank PLCMetro Bank PLCfinancial servicesaccounting fraud or deficiencies2022UK-FCA£10,002,300
HSBC Bank plcHSBCfinancial servicesinvestor protection violation2011UK-FSA£10,500,000
EE139 Realisations Ltd dba Earn Extra 139 Ltd tax violations2018UK-HMRC£10,645,837
Avacade Limited et al. investor protection violation2021UK-FCA£10,715,000
Metro Bank plcMetro Bank PLCfinancial servicesbanking violation2020UK-CMA£11,400,000
Santander UK plcBanco Santanderfinancial servicesinvestor protection violation2014UK-FCA£12,377,800
Citigroup Global Markets LimitedCitigroupfinancial servicesinvestor protection violation2022UK-FCA£12,553,800
Merrill Lynch InternationalBank of Americafinancial servicesinvestor protection violation2015UK-FCA£13,285,900
Prudential plcPrudential PLCfinancial servicesinvestor protection violation2013UK-FSA£14,000,000
Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd.NatWest Group PLCfinancial servicesinternal controls deficiency2014UK-PRA£14,000,000
The Royal Bank of Scotland plc and National Westminster Bank PlcNatWest Group PLCfinancial servicesmortgage abuses2014UK-FCA£14,474,600
Tullett Prebon (Europe) LimitedTP ICAP PLCfinancial servicesinvestor protection violation2019UK-FCA£15,400,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2021UK-FRC£15,450,000
The Prudential Assurance Company LimitedM&G PLCfinancial servicesinvestor protection violation2013UK-FSA£16,000,000
Silvermask Ltd tax violations2023UK-HMRC£16,102,000
Tesco Personal Finance plcTesco PLCretailingprivacy violation2018UK-FCA£16,400,000
JKL (Wakefield) Ltd tax violations2019UK-HMRC£16,432,386
ED&F Man Capital Markets Ltd tax violations2023UK-FCA£17,219,300
Goldman Sachs InternationalGoldman Sachsfinancial servicesinvestor protection violation2010UK-FSA£17,500,000
Aviva Investors Global Services LimitedAviva PLCfinancial servicesinvestor protection violation2015UK-FCA£17,607,000
Bank of Tokyo Mitsubishi UFJ LimitedMitsubishi UFJ Financial Groupfinancial servicesinternal controls deficiency2017UK-PRA£17,850,000
Julius Baer International LimitedJulius Baer Groupfinancial servicesinvestor protection violation2022UK-FCA£18,022,500
Invesco Asset Management Limited and Invesco Fund Managers LimitedInvescofinancial servicesinvestor protection violation2014UK-FCA£18,643,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2022UK-FRC£18,667,937
Work Legal-E Ltd. tax violations2014UK-HMRC£18,747,375
TSB Bank plcBanco de Sabadellfinancial servicesinternal controls deficiency2022UK-PRA£18,900,000
Santander UK plcBanco Santanderfinancial servicesbanking violation2019UK-CMA£19,000,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2020UK-OFSI£20,471,810
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2020UK-FRC£20,635,014
State Street Bank Europe Limited and State Street Global Markets International LimitedState Street Corp.financial servicesinvestor protection violation2014UK-FCA£22,885,000
Lighthouse Advisory Services Limited investor protection violation2023UK-FCA£23,610,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2023UK-FRC£23,874,365
The Prudential Assurance Company LimitedM&G PLCfinancial servicesinvestor protection violation2019UK-FCA£23,875,000