Basic Search  |  Summaries  |  Advanced Search

Violation Tracker UK Summary for Offence Group

Offence Group: financial offences
Penalty Total since 2010: £3,844,523,618
Number of Penalty Cases: 3,353
Note: Includes records/cases without monetary penalties.
Top 10 Parent CompaniesTotal PenaltyNumber of Cases
UBS£456,138,7768
NatWest Group PLC£363,717,5199
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.

Download results as CSV or XML (maximum 1000; for access to larger downloads contact Phil Mattera)
CompanyParentParent Major Industry sort iconOffence TypeYearAgencyPenalty Amount
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
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
Lloyds Banking GroupLloyds Banking Groupfinancial servicesinterest rate benchmark manipulation2014UK-PRA£7,760,000
Credit SuisseUBSfinancial servicesbanking violation2021UK-FCA£292,209,276
Sunrise Brokers LLPBGC Partnersfinancial servicesanti-money-laundering deficiencies2021UK-FCA£642,400
Metro Bank plcMetro Bank PLCfinancial servicesinternal controls deficiency2021UK-PRA£5,376,000
Standard Chartered BankStandard Charteredfinancial servicesinternal controls deficiency2021UK-PRA£46,550,000
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
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
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
Citigroup Global Markets LimitedCitigroupfinancial servicesinvestor protection violation2022UK-FCA£12,553,800
Lloyds Bank Corporate Markets PlcLloyds Banking Groupfinancial servicesanti-money-laundering deficiencies2022UK-JFSC£498,000
BNY Mellon Corporate Trustee Services Ltd TCSPBank of New York Mellonfinancial servicesanti-money-laundering deficiencies2021UK-HMRC£9,465
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
Julius Baer International LimitedJulius Baer Groupfinancial servicesinvestor protection violation2022UK-FCA£18,022,500
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
Generali Worldwide Insurance Company LimitedAssicurazioni Generalifinancial servicesinsurance violation2013UK-GFSC£150,000
TSB Bank plcBanco de Sabadellfinancial servicesinternal controls deficiency2022UK-PRA£18,900,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2024UK-FRC£1,462,500
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
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
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
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
Mazars LLPMazars LLPbusiness servicesaccounting fraud or deficiencies2014UK-FRC£1,870,000
RSM Robson Rhodes LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2011UK-FRC£975,000
RSM Tenon Financial Services LimitedRSM Groupbusiness servicesinvestor protection violation2010UK-FSA£700,000
KPMG Audit plcKPMGbusiness servicesaccounting fraud or deficiencies2021UK-ICAEW£58,260
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2021UK-ICAEW£8,295
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2021UK-ICAEW£8,518
UHY Hacker Young LLPUHY Hacker Youngbusiness servicesaccounting fraud or deficiencies2021UK-ICAEW£116,558
UHY Hacker Young LLPUHY Hacker Youngbusiness servicesaccounting fraud or deficiencies2020UK-ICAEW£44,613
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2020UK-ICAEW£9,585
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2020UK-ICAEW£30,612
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2020UK-ICAEW£16,270
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2020UK-ICAEW£0
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2020UK-ICAEW£6,243
KPMG Channel Islands LimitedKPMGbusiness servicesaccounting fraud or deficiencies2020UK-ICAEW£1,400
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2020UK-ICAEW£1,815,000
KPMG Audit LLCKPMGbusiness servicesaccounting fraud or deficiencies2019UK-ICAEW£137,818
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2019UK-ICAEW£27,280
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2019UK-FRC£4,550,000
RSM UK Audit LLPRSM Groupbusiness servicesaccounting fraud or deficiencies2019UK-ICAEW£750,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2019UK-ICAEW£10,818
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2019UK-ICAEW£11,580
BDO LLPBDO Internationalbusiness servicesaccounting fraud or deficiencies2018UK-ICAEW£3,500
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2018UK-ICAEW£50,755
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2018UK-ICAEW£2,500
BDO LimitedBDO Internationalbusiness servicesaccounting fraud or deficiencies2018UK-ICAEW£2,593
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2018UK-ICAEW£40,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2018UK-ICAEW£2,350
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2017UK-ICAEW£8,000
Mazars LLPMazars LLPbusiness servicesaccounting fraud or deficiencies2016UK-ICAEW£27,905
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2016UK-ICAEW£12,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2016UK-ICAEW£2,350
KPMG Audit plcKPMGbusiness servicesaccounting fraud or deficiencies2016UK-ICAEW£4,700
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2015UK-ICAEW£345,000
RSM UK Audit LLPRSM Groupbusiness servicesaccounting fraud or deficiencies2020UK-ICAS£104,300
G4S Care and Justice Services (UK) LtdAllied Universal Security Servicesbusiness servicesfraud2020UK-SFO£44,400,000
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
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2021UK-ICAEW£65,835
UHY Hacker Young LLPUHY Hacker Youngbusiness servicesaccounting fraud or deficiencies2021UK-ICAEW£100,783
Mazars LLPMazars LLPbusiness servicesaccounting fraud or deficiencies2022UK-FRC£250,000
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2021UK-FRC£1,186,030
KPMG LtdKPMGbusiness servicesaccounting fraud or deficiencies2021UK-ICAEW£0
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2022UK-FRC£944,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2022UK-FRC£3,010,000