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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
The Prudential Assurance Company LimitedM&G PLCfinancial servicesinvestor protection violation2019UK-FCA£23,875,000
Park First Limited et al. investor protection violation2021UK-FCA£25,000,000
Barclays Bank plcBarclaysfinancial servicesinvestor protection violation2014UK-FCA£26,033,500
Rio Tinto plcRio Tintomining and mineralsaccounting fraud or deficiencies2017UK-FCA£27,385,400
UBS AGUBSfinancial servicesinvestor protection violation2019UK-FCA£27,599,400
Lloyds Bank plc and Bank of Scotland plcLloyds Banking Groupfinancial servicesinvestor protection violation2013UK-FCA£28,038,800
UBS AGUBSfinancial servicesinvestor protection violation2012UK-FSA£29,700,000
TSB Bank plcBanco de Sabadellfinancial servicesinternal controls deficiency2022UK-FCA£29,750,000
Standard Life Assurance LimitedPhoenix Group Holdings PLCfinancial servicesinvestor protection violation2019UK-FCA£30,792,500
Santander UK plcBanco Santanderfinancial servicesbanking violation2018UK-FCA£32,817,800
J.P. Morgan Securities Ltd.JPMorgan Chasefinancial servicesinvestor protection violation2010UK-FSA£33,320,000
Goldman Sachs InternationalGoldman Sachsfinancial servicesinvestor protection violation2019UK-FCA£34,344,700
Merrill Lynch InternationalBank of Americafinancial servicesinvestor protection violation2017UK-FCA£34,524,000
Barclays Bank plcBarclaysfinancial servicesinvestor protection violation2014UK-FCA£37,745,000
Commerzbank AGCommerzbankfinancial servicesanti-money-laundering deficiencies2020UK-FCA£37,805,400
Royal Bank of Scotland Plc and National Westminster Bank Plc and Ulster Bank PlcNatWest Group PLCfinancial servicesbanking violation2014UK-FCA£42,000,000
Citigroup Global Markets Limited, Citibank N.A. London branch and Citibank Europe Plc UK branchCitigroupfinancial servicesinternal controls deficiency2019UK-PRA£43,890,000
G4S Care and Justice Services (UK) LtdAllied Universal Security Servicesbusiness servicesfraud2020UK-SFO£44,400,000
Bank of ScotlandLloyds Banking Groupfinancial servicesbanking violation2019UK-FCA£45,500,000
Standard Chartered BankStandard Charteredfinancial servicesinternal controls deficiency2021UK-PRA£46,550,000
Goldman Sachs InternationalGoldman Sachsfinancial servicesinvestor protection violation2020UK-FCA£48,308,400
Goldman Sachs InternationalGoldman Sachsfinancial servicesrisk management failure2020UK-PRA£48,308,400
HSBC Bank plc and HSBC UK Bank plcHSBCfinancial servicesinternal controls deficiency2024UK-PRA£57,417,500
HSBC Bank plcHSBCfinancial servicesanti-money-laundering deficiencies2021UK-FCA£63,946,800
Lloyds Bank plc and Bank of Scotland plc and The Mortgage Business plcLloyds Banking Groupfinancial servicesmortgage abuses2020UK-FCA£64,046,800
Barclays Bank plcBarclaysfinancial servicesanti-money-laundering deficiencies2015UK-FCA£72,069,400
Credit Suisse International and Credit Suisse Securities (Europe) LtdUBSfinancial servicesinternal controls deficiency2023UK-PRA£87,082,000
Serco Geografix LtdSerco Groupmiscellaneous servicesfraud2019UK-SFO£91,400,000
Standard Chartered BankStandard Charteredfinancial servicesanti-money-laundering deficiencies2019UK-FCA£102,163,200
Santander UK PlcBanco Santanderfinancial servicesanti-money-laundering deficiencies2022UK-FCA£107,793,300
The Bank of New York Mellon International Limited et al.Bank of New York Mellonfinancial servicesinvestor protection violation2015UK-FCA£126,000,000
Tesco Stores LimitedTesco PLCretailingaccounting fraud or deficiencies2019UK-SFO£132,000,000
JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2013UK-FCA£137,610,000
Deutsche Bank AGDeutsche Bankfinancial servicesanti-money-laundering deficiencies2017UK-FCA£163,076,224
National Westminster Bank plcNatWest Group PLCfinancial servicesanti-money-laundering deficiencies2021UK-FCA£264,772,619
Credit SuisseUBSfinancial servicesbanking violation2021UK-FCA£292,209,276
Link Fund Solutions investor protection violation2024UK-FCA£298,404,919