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Violation Tracker UK Summary for Offence Group

Offence Group: financial offences
Penalty Total since 2010: £5,018,683,702
Number of Penalty Cases: 4,197
Note: Includes records/cases without monetary penalties.
Top 10 Parent CompaniesTotal PenaltyNumber of Cases
AstraZeneca£505,000,0001
UBS£456,138,7768
NatWest Group PLC£350,251,2569
Barclays£184,677,3698
JPMorgan Chase£174,006,2003
Banco Santander£173,488,9006
Standard Chartered£169,185,0103
Deutsche Bank£167,795,0242
Goldman Sachs£148,461,5004
HSBC£146,438,3307

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 iconPenalty Amount
Westwood Independent Financial Planners investor protection violation2013UK-FCA£100,000
SEI Investments (Europe) Limited investor protection violation2013UK-FCA£900,200
JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2013UK-FCA£137,610,000
AXA Wealth Services LtdPhoenix Group Holdings PLCfinancial servicesinvestor protection violation2013UK-FCA£1,802,200
Aberdeen Asset Managers Limited and Aberdeen Fund Management LimitedAbrdn PLCfinancial servicesinvestor protection violation2013UK-FCA£7,192,500
Guaranty Trust Bank (UK) LimitedGuaranty Trust Bank PLCfinancial servicesanti-money-laundering deficiencies2013UK-FCA£525,000
The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V.NatWest Group PLCfinancial servicesinvestor protection violation2013UK-FCA£5,620,300
Sesame LimitedAviva PLCfinancial servicesinvestor protection violation2013UK-FCA£6,031,200
Xcap Securities PLC investor protection violation2013UK-FCA£120,900
J.P. Morgan International Bank LimitedJPMorgan Chasefinancial servicesinvestor protection violation2013UK-FCA£3,076,200
Avacade Limited et al. investor protection violation2021UK-FCA£10,715,000
BDSwiss Holding Plc investor protection violation2021UK-FCA£0
Park First Limited et al. investor protection violation2021UK-FCA£25,000,000
Credit SuisseUBSfinancial servicesbanking violation2021UK-FCA£292,209,276
Sunrise Brokers LLPBGC Partnersfinancial servicesanti-money-laundering deficiencies2021UK-FCA£642,400
HSBC Bank plcHSBCfinancial servicesanti-money-laundering deficiencies2021UK-FCA£63,946,800
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
ED&F Man Capital Markets Ltd tax violations2023UK-FCA£17,219,300
Synergy Land Group Limited investor protection violation2023UK-FCA£27,000
24HR Trading Academy Ltd. investor protection violation2023UK-FCA£106,650
Lighthouse Advisory Services Limited investor protection violation2023UK-FCA£23,610,000
Bastion Capital London Limited anti-money-laundering deficiencies2023UK-FCA£2,452,700
ADM Investor Services International LimitedArcher Daniels Midlandagribusinessanti-money-laundering deficiencies2023UK-FCA£6,470,600
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2024UK-FRC£1,462,500
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2024UK-FRC£40,000
Crowe U.K. LLP accounting fraud or deficiencies2024UK-FRC£144,000
Oliver Clive & Co Limited accounting fraud or deficiencies2024UK-FRC£262,692
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2024UK-FRC£5,173,730
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2024UK-FRC£4,649,639
MacIntyre Hudson LLP accounting fraud or deficiencies2024UK-FRC£450,250
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2024UK-FRC£296,305
Crowe UK LLP accounting fraud or deficiencies2024UK-FRC£955,000
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