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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 Type sort iconYearAgencyPenalty Amount
Causeway Coast Rentals Ltd EAB anti-money-laundering deficiencies2023UK-HMRC£2,750
Definition Solutions Limited ASP anti-money-laundering deficiencies2023UK-HMRC£2,750
Definition solutions ltd ASP anti-money-laundering deficiencies2023UK-HMRC£2,750
Evans Bros Auctioneers & Estate Agents Limited EAB anti-money-laundering deficiencies2023UK-HMRC£2,750
Gabba Consultancy Ltd ASP anti-money-laundering deficiencies2023UK-HMRC£2,750
Houston Lawrence (Wimbledon) Limited ASP anti-money-laundering deficiencies2023UK-HMRC£2,750
Insight Accountancy Limited ASP anti-money-laundering deficiencies2023UK-HMRC£2,750
J R & M McGinty ASP anti-money-laundering deficiencies2023UK-HMRC£2,750
Management Of Accounts and Payroll Limited ASP anti-money-laundering deficiencies2023UK-HMRC£2,750
Mazters Ltd EAB anti-money-laundering deficiencies2023UK-HMRC£2,750
OnTax Accountants Ltd ASP anti-money-laundering deficiencies2023UK-HMRC£2,750
Primestay London Ltd EAB anti-money-laundering deficiencies2023UK-HMRC£2,750
Saxons Lettings & Management Limited EAB anti-money-laundering deficiencies2023UK-HMRC£2,750
SCR Business Services Limited ASP anti-money-laundering deficiencies2023UK-HMRC£2,750
Soul Estates Limited EAB anti-money-laundering deficiencies2023UK-HMRC£2,750
Stibbards’ Property Limited EAB anti-money-laundering deficiencies2023UK-HMRC£2,750
Summit Financial Consulting Limited ASP anti-money-laundering deficiencies2023UK-HMRC£2,750
Your Property Geeks Ltd EAB anti-money-laundering deficiencies2023UK-HMRC£2,750
Kandaka Ltd MSB anti-money-laundering deficiencies2023UK-HMRC£2,740
Media Station Ltd ASP anti-money-laundering deficiencies2023UK-HMRC£2,650
Tidal Estates And Lettings Limited EAB anti-money-laundering deficiencies2023UK-HMRC£2,650
Woodplumpton Accounting Limited ASP anti-money-laundering deficiencies2023UK-HMRC£2,585
AGM Accounting Services LTD ASP anti-money-laundering deficiencies2023UK-HMRC£2,550
Oaklands Estates Ltd EAB anti-money-laundering deficiencies2023UK-HMRC£2,526
TNR Property Ltd EAB anti-money-laundering deficiencies2023UK-HMRC£2,500
Hargreave Music Management ASP anti-money-laundering deficiencies2023UK-HMRC£2,439
Leeds Accommodation Bureau EAB anti-money-laundering deficiencies2023UK-HMRC£2,233
Kaz Accountancy Services Limited ASP anti-money-laundering deficiencies2023UK-HMRC£1,500
Cornerstone Crew Management (M.I.) Limited anti-money-laundering deficiencies2023UK-IOM£9,659
Y & A Group, LP anti-money-laundering deficiencies2023UK-IOM£28,631
Bank of ScotlandLloyds Banking Groupfinancial servicesbanking violation2019UK-FCA£45,500,000
R. Raphael & Sons plc banking violation2019UK-FCA£775,100
Santander UK plcBanco Santanderfinancial servicesbanking violation2018UK-FCA£32,817,800
Royal Bank of Scotland Plc and National Westminster Bank Plc and Ulster Bank PlcNatWest Group PLCfinancial servicesbanking violation2014UK-FCA£42,000,000
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
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
Credit SuisseUBSfinancial servicesbanking violation2021UK-FCA£292,209,276
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
IQ EQ (Jersey) Limited banking violation2022UK-JFSC£803,661
Hawksford Trust Company Jersey Limited banking violation2021UK-JFSC£0
Sanne Fiduciary Services Limited banking violation2019UK-JFSC£381,010
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2020UK-OFSI£20,471,810
Telia Carrier UK Limited economic sanction violation2019UK-OFSI£146,341
Travelex UK Ltd economic sanction violation2019UK-OFSI£10,000
Raphael & Sons plc economic sanction violation2019UK-OFSI£5,000
TransferGo Limited economic sanction violation2021UK-OFSI£50,000
Clear Junction Ltd economic sanction violation2021UK-OFSI£36,393
Tracerco LimitedJohnson Mattheymetalseconomic sanction violation2022UK-OFSI£0
Hong Kong International Wine and Spirits Competition Ltd economic sanction violation2022UK-OFSI£30,000
Wise Payments Limited economic sanction violation2023UK-OFSI£0
Serco Geografix LtdSerco Groupmiscellaneous servicesfraud2019UK-SFO£91,400,000
G4S Care and Justice Services (UK) LtdAllied Universal Security Servicesbusiness servicesfraud2020UK-SFO£44,400,000
Hargreave Hale Ltd insider trading2019UK-FCA£306,300
River and Mercantile Asset Management LLP insider trading2019UK-FCA£108,600
Greenlight Capital Inc. insider trading2012UK-FSA£3,650,795
Global Insurance Group Limited insurance violation2020UK-GFSC£42,000
Generali Worldwide Insurance Company LimitedAssicurazioni Generalifinancial servicesinsurance violation2013UK-GFSC£150,000
Lloyds Banking GroupLloyds Banking Groupfinancial servicesinterest rate benchmark manipulation2014UK-PRA£7,760,000
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
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
QIB (UK) Plc internal controls deficiency2016UK-PRA£1,384,950
Millburn Insurance Company Limited internal controls deficiency2016UK-PRA£2,863,066
R. Raphael & Sons Plc internal controls deficiency2015UK-PRA£1,278,165
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
Metro Bank plcMetro Bank PLCfinancial servicesinternal controls deficiency2021UK-PRA£5,376,000
Standard Chartered BankStandard Charteredfinancial servicesinternal controls deficiency2021UK-PRA£46,550,000
TSB Bank plcBanco de Sabadellfinancial servicesinternal controls deficiency2022UK-FCA£29,750,000
TSB Bank plcBanco de Sabadellfinancial servicesinternal controls deficiency2022UK-PRA£18,900,000
NMC Health Plc investor protection violation2023UK-FCA£0
Inspirational Financial Management Ltd investor protection violation2024UK-FCA£897,840
Argento Wealth Ltd investor protection violation2024UK-FCA£1,600,000
Link Fund Solutions investor protection violation2024UK-FCA£298,404,919
Bright Managment Solution Limited investor protection violation2024UK-FCA£533,000
BDSwiss Holding Plc investor protection violation2021UK-FCA£0
Avacade Future Solutions et al. investor protection violation2021UK-FCA£0
Charles Schwab UK Ltd.Charles Schwab Corp.financial servicesinvestor protection violation2020UK-FCA£8,963,200
LJ Financial Planning Ltd. investor protection violation2020UK-FCA£107,200
TFS-ICAP Ltd. investor protection violation2020UK-FCA£3,444,100
Goldman Sachs InternationalGoldman Sachsfinancial servicesinvestor protection violation2020UK-FCA£48,308,400
Asia Research and Capital Management Ltd. investor protection violation2020UK-FCA£873,118
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