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Violation Tracker UK Summary for Offence Group

Offence Group: financial offences
Penalty Total since 2010: £3,504,505,112
Number of Penalty Cases: 2,713
Note: Includes records/cases without monetary penalties.

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Top 10 Parent CompaniesTotal PenaltyNumber of Cases
NatWest Group PLC£363,717,5199
Credit Suisse£302,307,3764
JPMorgan Chase£174,006,2003
Banco Santander£173,488,9006
Standard Chartered£169,185,0103
Deutsche Bank£168,635,0243
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 TypeYearAgency sort icon . Penalty Amount
National Westminster Bank plcNatWest Group PLCfinancial servicesanti-money-laundering deficiencies2021UK-FCA£264,772,619
The TJM Partnership Limited anti-money-laundering deficiencies2022UK-FCA£2,038,700
Ghana International Bank Plc anti-money-laundering deficiencies2022UK-FCA£5,829,900
JLT Specialty LimitedMarsh & McLennanfinancial servicesanti-money-laundering deficiencies2022UK-FCA£7,881,700
GAM International Management LtdGAM Holding AGfinancial servicesinvestor protection violation2022UK-FCA£9,103,523
Sigma Broking Ltd. investor protection violation2022UK-FCA£531,000
Citigroup Global Markets LimitedCitigroupfinancial servicesinvestor protection violation2022UK-FCA£12,553,800
Carillion plc investor protection violation2022UK-FCA£0
TJM Partnership anti-money-laundering deficiencies2022UK-FCA£2,038,700
Gatehouse Bank Plc anti-money-laundering deficiencies2022UK-FCA£1,584,100
Metro Bank PLCMetro Bank PLCfinancial servicesaccounting fraud or deficiencies2022UK-FCA£10,002,300
Santander UK PlcBanco Santanderfinancial servicesanti-money-laundering deficiencies2022UK-FCA£107,793,300
BGC Brokers LP and GFI Brokers Ltd and GFI Securities Ltd investor protection violation2022UK-FCA£4,775,200
Pembrokeshire Mortgage Centre Limited investor protection violation2022UK-FCA£2,354,331
Julius Baer International LimitedJulius Baer Groupfinancial servicesinvestor protection violation2022UK-FCA£18,022,500
Al Rayan Bank PLC anti-money-laundering deficiencies2023UK-FCA£4,023,600
Guaranty Trust Bank (UK) LimitedGuaranty Trust Bank PLCfinancial servicesanti-money-laundering deficiencies2023UK-FCA£7,671,800
TSB Bank plcBanco de Sabadellfinancial servicesinternal controls deficiency2022UK-FCA£29,750,000
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2019UK-FRC£422,500
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2020UK-FRC£455,000
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2020UK-FRC£0
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2020UK-FRC£1,950,000
BDO LLPBDO Internationalbusiness servicesaccounting fraud or deficiencies2020UK-FRC£160,000
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2020UK-FRC£20,635,014
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2020UK-FRC£362,500
Haysmacintyre LLP accounting fraud or deficiencies2021UK-FRC£70,000
UHY Hacker Young LLPUHY Hacker Youngbusiness servicesaccounting fraud or deficiencies2021UK-FRC£0
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2021UK-FRC£15,450,000
KPMG Audit PlcKPMGbusiness servicesaccounting fraud or deficiencies2019UK-FRC£3,500,000
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2019UK-FRC£4,525,000
KPMG Audit PlcKPMGbusiness servicesaccounting fraud or deficiencies2019UK-FRC£4,500,000
KPMG Audit PlcKPMGbusiness servicesaccounting fraud or deficiencies2019UK-FRC£6,000,000
Baker Tilly UK Audit LLPRSM Groupbusiness servicesaccounting fraud or deficiencies2019UK-FRC£750,000
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2018UK-FRC£3,165,000
KPMG Audit PlcKPMGbusiness servicesaccounting fraud or deficiencies2018UK-FRC£2,212,000
PriceWaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2018UK-FRC£10,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2018UK-FRC£3,296,000
Arrandco Audit Ltd. accounting fraud or deficiencies2018UK-FRC£790,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2017UK-FRC£2,025,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017UK-FRC£5,600,000
PwC LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017UK-FRC£5,000,000
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2017UK-FRC£2,475,000
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2016UK-FRC£6,275,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2016UK-FRC£3,050,000
Moore Stephens (NI) LLP accounting fraud or deficiencies2016UK-FRC£140,000
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015UK-FRC£1,060,000
Deloitte & ToucheDeloittebusiness servicesaccounting fraud or deficiencies2015UK-FRC£3,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2015UK-FRC£227,500
KPMG Audit PlcKPMGbusiness servicesaccounting fraud or deficiencies2015UK-FRC£162,500
Sixonethreeone Limited accounting fraud or deficiencies2014UK-FRC£450,000
Mazars LLPMazars LLPbusiness servicesaccounting fraud or deficiencies2014UK-FRC£1,870,000
RSM Robson Rhodes LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2011UK-FRC£975,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2019UK-FRC£4,550,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2021UK-FRC£2,205,000
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2021UK-FRC£2,340,000
Mazars LLPMazars LLPbusiness servicesaccounting fraud or deficiencies2022UK-FRC£250,000
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2021UK-FRC£1,186,030
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2022UK-FRC£944,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2022UK-FRC£3,010,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2022UK-FRC£0
Mazars LLPMazars LLPbusiness servicesaccounting fraud or deficiencies2022UK-FRC£250,000
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2022UK-FRC£1,323,875
UHY Hacker Young LLPUHY Hacker Youngbusiness servicesaccounting fraud or deficiencies2022UK-FRC£217,500
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2022UK-FRC£1,959,750
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2022UK-FRC£3,038,750
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2022UK-FRC£3,375,000
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2022UK-FRC£1,450,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2022UK-FRC£2,415,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2022UK-FRC£18,667,937
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2022UK-FRC£1,696,149
UHY Hacker Young LLPUHY Hacker Youngbusiness servicesaccounting fraud or deficiencies2022UK-FRC£636,385
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2022UK-FRC£330,000
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2022UK-FRC£906,250
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2023UK-FRC£5,625,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2023UK-FRC£1,066,163
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2023UK-FRC£1,222,180
EFG Private Bank Ltd anti-money-laundering deficiencies2013UK-FSA£4,200,000
The Prudential Assurance Company LimitedM&G PLCfinancial servicesinvestor protection violation2013UK-FSA£16,000,000
Prudential plcPrudential PLCfinancial servicesinvestor protection violation2013UK-FSA£14,000,000
Care Asset Management Limited investor protection violation2013UK-FSA£56,000
Lamprell plc investor protection violation2013UK-FSA£2,428,300
Nestor Healthcare Group Limited investor protection violation2013UK-FSA£175,000
UBS AGUBSfinancial servicesinvestor protection violation2013UK-FSA£9,450,000
Cheshire Mortgage Corporation Limited mortgage abuses2012UK-FSA£1,225,000
UBS AGUBSfinancial servicesinvestor protection violation2012UK-FSA£29,700,000
Savoy Investment Management Limited investor protection violation2012UK-FSA£412,000
Plus500UK LimitedPlus500 Limitedfinancial servicesinvestor protection violation2012UK-FSA£205,128
James Sharp and Company investor protection violation2012UK-FSA£49,000
Sun Life Assurance Company of Canada (UK) LimitedSun Life Financialfinancial servicesinvestor protection violation2012UK-FSA£600,000
Pi Financial Limited investor protection violation2012UK-FSA£58,300
Blackrock Investment Management (UK) LimitedBlackRockfinancial servicesinvestor protection violation2012UK-FSA£9,533,100
Turkish Bank (UK) Ltd anti-money-laundering deficiencies2012UK-FSA£294,000
Mosley & Company investor protection violation2012UK-FSA£10,500
Habib Bank AG Zurich anti-money-laundering deficiencies2012UK-FSA£525,000
Martin Currie Investment Management Limited and Martin Currie Inc investor protection violation2012UK-FSA£3,500,000
Exillon Energy plc investor protection violation2012UK-FSA£292,950
Accendo Markets Limited investor protection violation2012UK-FSA£56,000
Christchurch Investment Management Limited investor protection violation2012UK-FSA£26,600
Coutts & CompanyNatWest Group PLCfinancial servicesanti-money-laundering deficiencies2012UK-FSA£8,750,000
Santander UK plcBanco Santanderfinancial servicesinvestor protection violation2012UK-FSA£1,500,000
Greenlight Capital Inc. insider trading2012UK-FSA£3,650,795