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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.

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CompanyParentParent Major IndustryOffence TypeYear sort iconAgencyPenalty Amount
The Royal Bank of Scotland plc and National Westminster Bank PlcNatWest Group PLCfinancial servicesmortgage abuses2014UK-FCA£14,474,600
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2014UK-FCA£4,718,800
Credit Suisse InternationalUBSfinancial servicesinvestor protection violation2014UK-FCA£2,398,100
Yorkshire Building SocietyYorkshire Building Societyfinancial servicesinvestor protection violation2014UK-FCA£1,429,000
Barclays Bank plcBarclaysfinancial servicesinvestor protection violation2014UK-FCA£26,033,500
Invesco Asset Management Limited and Invesco Fund Managers LimitedInvescofinancial servicesinvestor protection violation2014UK-FCA£18,643,000
Santander UK plcBanco Santanderfinancial servicesinvestor protection violation2014UK-FCA£12,377,800
Besso LimitedArdonagh Groupfinancial servicesinvestor protection violation2014UK-FCA£315,000
Forex Capital Markets Ltd and FXCM Securities Ltd investor protection violation2014UK-FCA£4,000,000
State Street Bank Europe Limited and State Street Global Markets International LimitedState Street Corp.financial servicesinvestor protection violation2014UK-FCA£22,885,000
7722656 Canada Inc. investor protection violation2014UK-FCA£8,000,000
Standard Bank PLCIndustrial and Commercial Bank of Chinafinancial servicesanti-money-laundering deficiencies2014UK-FCA£7,640,400
Sixonethreeone Limited accounting fraud or deficiencies2014UK-FRC£450,000
Mazars LLPMazars LLPbusiness servicesaccounting fraud or deficiencies2014UK-FRC£1,870,000
AIB Group (UK) plc dba First Trust BankAllied Irish Banksfinancial servicesbanking violation2014UK-CMA£0
HSBC Bank plcHSBCfinancial servicesbanking violation2014UK-CMA£0
Work Legal-E Ltd. tax violations2014UK-HMRC£18,747,375
Premier Waste & Recycling Ltd tax violations2014UK-HMRC£2,806,526
Lloyds Management Limited tax violations2014UK-HMRC£92,124
DNB Leisure Ltd dba The Bell Rock Restaurant tax violations2014UK-HMRC£77,312
Caterers Friend Limited tax violations2014UK-HMRC£55,771
Mi Julies Chippy tax violations2014UK-HMRC£48,448
Aglow Fashions Ltd tax violations2014UK-HMRC£48,331
KDCNI.COM Ltd tax violations2014UK-HMRC£33,801
Ryebridge Limited tax violations2014UK-HMRC£33,481
Wessex Biodiesel Ltd tax violations2014UK-HMRC£30,209
Sehar Holdings Ltd tax violations2014UK-HMRC£25,678
First Industries Limited tax violations2014UK-HMRC£22,630
Business Focus & Systems Limited accounting fraud or deficiencies2014UK-ICAEW£10,442
Cox Costello & Horne Limited accounting fraud or deficiencies2014UK-ICAEW£20,380
Wells Professional Partnership LLP accounting fraud or deficiencies2014UK-ICAEW£16,705
Jackson Grundy Limited anti-money-laundering deficiencies2014UK-OFT£169,652
Hastings International UK Limited anti-money-laundering deficiencies2014UK-OFT£47,966
Jeffrey Ross Ltd. anti-money-laundering deficiencies2014UK-OFT£29,000
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
Guernsey Insurance Brokers Limited investor protection violation2014UK-GFSC£8,000
Ahli United Bank (UK) PLC anti-money-laundering deficiencies2014UK-GFSC£70,000
Willow Trust Limited anti-money-laundering deficiencies2014UK-GFSC£30,000
The Channel Islands Stock Exchange, LBG investor protection violation2014UK-GFSC£190,000
Threadneedle Asset Management Limited investor protection violation2015UK-FCA£6,038,504
Barclays Bank plcBarclaysfinancial servicesanti-money-laundering deficiencies2015UK-FCA£72,069,400
John Joseph Financial Services Limited investor protection violation2015UK-FCA£20,000
Mineworld Limited investor protection violation2015UK-FCA£5,000,000
Da Vinci Invest Limited investor protection violation2015UK-FCA£1,460,000
Asia Resource Minerals plc fka Bumi plc investor protection violation2015UK-FCA£4,651,200
Merrill Lynch InternationalBank of Americafinancial servicesinvestor protection violation2015UK-FCA£13,285,900
The Bank of New York Mellon International Limited et al.Bank of New York Mellonfinancial servicesinvestor protection violation2015UK-FCA£126,000,000
Bank of Beirut (UK) Ltd anti-money-laundering deficiencies2015UK-FCA£2,100,000
Aviva Investors Global Services LimitedAviva PLCfinancial servicesinvestor protection violation2015UK-FCA£17,607,000
Reckitt Benckiser Group PlcReckitt Benckiserhousehold and personal care productsinvestor protection violation2015UK-FCA£539,800
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
Clays Farm Gold Centre tax violations2015UK-HMRC£46,781
Auto Partz Ltd tax violations2015UK-HMRC£42,628
K G Electrical Supplies UK Ltd. tax violations2015UK-HMRC£34,469
T.F. Solutions Limited tax violations2015UK-HMRC£27,470
Sheena Knitwear (M/CR) Limited tax violations2015UK-HMRC£20,572
Ashley Cash and Carry (UK) Ltd. tax violations2015UK-HMRC£13,699
Refac Ltd. tax violations2015UK-HMRC£12,986
Ridge Valley Roofing tax violations2015UK-HMRC£11,530
Holmfirth Consulting Ltd. tax violations2015UK-HMRC£10,972
Barlow Andrews LLP accounting fraud or deficiencies2015UK-ICAEW£15,880
KJA Kilner Johnson Limited accounting fraud or deficiencies2015UK-ICAEW£10,893
Mehta & Tengra anti-money-laundering deficiencies2015UK-ICAEW£7,505
The Mudd Partnership accounting fraud or deficiencies2015UK-ICAEW£24,905
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2015UK-ICAEW£345,000
Henn & Westwood accounting fraud or deficiencies2015UK-ICAEW£7,268
Geo Little Sebire & Co accounting fraud or deficiencies2015UK-ICAEW£4,667
Robertson Milroy Limited accounting fraud or deficiencies2015UK-ICAEW£14,380
Hill Osborne Ltd accounting fraud or deficiencies2015UK-ICAEW£10,380
R. Raphael & Sons Plc internal controls deficiency2015UK-PRA£1,278,165
Co-operative Bank PlcCo-operative Bankfinancial servicesinternal controls deficiency2015UK-PRA£0
Guernsey Financial Consultants Limited investor protection violation2015UK-GFSC£42,000
Woodlock Financial Services (1998) Limited investor protection violation2015UK-GFSC£28,000
Sonali Bank (UK) Limited anti-money-laundering deficiencies2016UK-FCA£3,250,600
Aviva Pension Trustees UK Limited and Aviva Wrap UK LimitedAviva PLCfinancial servicesinvestor protection violation2016UK-FCA£8,246,800
Cenkos Securities Plc investor protection violation2016UK-FCA£530,500
W H Ireland Limited investor protection violation2016UK-FCA£1,200,000
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
LL (NI) Limited dba Mandarin Palace Restaurant dba Mandarin Palace Takeaway dba Karma Tapas Bar dba Jasmine Takeaway tax violations2016UK-HMRC£530,315
SRS (Sheffield) Limited tax violations2016UK-HMRC£518,734
Tan Trading Limited tax violations2016UK-HMRC£450,799
Celtic Carriers Limited tax violations2016UK-HMRC£318,408
L A Haulage and Plant Hire Limited fka L A Plant Hire (UK) Limited tax violations2016UK-HMRC£114,566
CSC tax violations2016UK-HMRC£102,514
Armstrongs Fish and Chip Shop Limited tax violations2016UK-HMRC£87,254
G K V Development tax violations2016UK-HMRC£85,391
Advance Cars tax violations2016UK-HMRC£78,304
B Bostan Building Contractors Limited tax violations2016UK-HMRC£75,435
Pamma Rugs Limited dba Pamma Rugs tax violations2016UK-HMRC£64,076
Dervish tax violations2016UK-HMRC£62,943
Delsauce Restaurant Limited dba Village Indiya tax violations2016UK-HMRC£61,985
Health Joy Nutrition Limited dba MD Nutrition dba Health Joy Limited dba Health Joy MD Nutrition Limited tax violations2016UK-HMRC£60,907
JAD Transport tax violations2016UK-HMRC£57,381
Woodthorpe Moto Company tax violations2016UK-HMRC£47,525
Wonga Group Limited tax violations2016UK-HMRC£43,845