Basic Search  |  Summaries  |  Advanced Search

Violation Tracker UK Summary for Offence Group

Offence Group: financial offences
Penalty Total since 2010: £3,567,641,668
Number of Penalty Cases: 3,019
Note: Includes records/cases without monetary penalties.
Top 10 Parent CompaniesTotal PenaltyNumber of Cases
UBS£369,056,7767
NatWest Group PLC£363,717,5199
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.

Download results as CSV or XML (maximum 1000; for access to larger downloads contact Phil Mattera)
CompanyParentParent Major Industry sort icon . Offence TypeYearAgencyPenalty Amount
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2022UK-FRC£0
Mazars LLPMazars LLPbusiness servicesaccounting fraud or deficiencies2022UK-FRC£250,000
BDO LLPBDO Internationalbusiness servicesaccounting fraud or deficiencies2021UK-ICAEW£14,683
KPMG LtdKPMGbusiness servicesaccounting fraud or deficiencies2022UK-ICAEW£67,152
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2022UK-ICAEW£15,345
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
PricewaterhouseCoopers CI LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2022UK-ICAEW£234,405
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2022UK-FRC£330,000
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2022UK-FRC£906,250
KPMG Channel Islands LimitedKPMGbusiness servicesaccounting fraud or deficiencies2022UK-ICAEW£46,505
RSM UK Audit LLPRSM Groupbusiness servicesaccounting fraud or deficiencies2022UK-ICAS£136,654
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2023UK-FRC£5,625,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2023UK-FRC£1,066,163
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2023UK-ICAEW£201,615
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2023UK-ICAEW£123,807
KPMG Audit plcKPMGbusiness servicesaccounting fraud or deficiencies2023UK-ICAEW£106,307
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2023UK-FRC£1,222,180
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2023UK-FRC£2,256,625
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2023UK-FRC£1,197,800
BDO LLPBDO Internationalbusiness servicesaccounting fraud or deficiencies2023UK-ICAEW£3,635
Mazars LLPMazars LLPbusiness servicesaccounting fraud or deficiencies2023UK-FRC£72,000
BDSwiss Holding Plc investor protection violation2021UK-FCA£0
Avacade Future Solutions et al. investor protection violation2021UK-FCA£0
LJ Financial Planning Ltd. investor protection violation2020UK-FCA£107,200
TFS-ICAP Ltd. investor protection violation2020UK-FCA£3,444,100
Asia Research and Capital Management Ltd. investor protection violation2020UK-FCA£873,118
Cathay International Holdings Limited investor protection violation2019UK-FCA£411,000
R. Raphael & Sons plc banking violation2019UK-FCA£775,100
Linear Investments Limited investor protection violation2019UK-FCA£409,300
Hargreave Hale Ltd insider trading2019UK-FCA£306,300
River and Mercantile Asset Management LLP insider trading2019UK-FCA£108,600
Canara Bank anti-money-laundering deficiencies2018UK-FCA£896,100
Tejoori Limited investor protection violation2017UK-FCA£70,000
Sonali Bank (UK) Limited anti-money-laundering deficiencies2016UK-FCA£3,250,600
Cenkos Securities Plc investor protection violation2016UK-FCA£530,500
W H Ireland Limited investor protection violation2016UK-FCA£1,200,000
Threadneedle Asset Management Limited investor protection violation2015UK-FCA£6,038,504
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
Bank of Beirut (UK) Ltd anti-money-laundering deficiencies2015UK-FCA£2,100,000
Execution Noble & Company Limited investor protection violation2014UK-FCA£231,000
Forex Capital Markets Ltd and FXCM Securities Ltd investor protection violation2014UK-FCA£4,000,000
7722656 Canada Inc. investor protection violation2014UK-FCA£8,000,000
Westwood Independent Financial Planners investor protection violation2013UK-FCA£100,000
SEI Investments (Europe) Limited investor protection violation2013UK-FCA£900,200
Xcap Securities PLC investor protection violation2013UK-FCA£120,900
Haysmacintyre LLP accounting fraud or deficiencies2021UK-FRC£70,000
Arrandco Audit Ltd. accounting fraud or deficiencies2018UK-FRC£790,000
Moore Stephens (NI) LLP accounting fraud or deficiencies2016UK-FRC£140,000
Sixonethreeone Limited accounting fraud or deficiencies2014UK-FRC£450,000
EFG Private Bank Ltd anti-money-laundering deficiencies2013UK-FSA£4,200,000
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
Cheshire Mortgage Corporation Limited mortgage abuses2012UK-FSA£1,225,000
Savoy Investment Management Limited investor protection violation2012UK-FSA£412,000
James Sharp and Company investor protection violation2012UK-FSA£49,000
Pi Financial Limited investor protection violation2012UK-FSA£58,300
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
Greenlight Capital Inc. insider trading2012UK-FSA£3,650,795
Topps Rogers Financial Management investor protection violation2012UK-FSA£97,600
McInroy & Wood Limited investor protection violation2011UK-FSA£15,050
Towry Investment Management Limited investor protection violation2011UK-FSA£494,900
Rockingham Independent Limited investor protection violation2011UK-FSA£35,000
Lewis Partnership mortgage abuses2011UK-FSA£106,499
Swift 1st Limited mortgage abuses2011UK-FSA£630,000
Fox Hayes investor protection violation2011UK-FSA£454,770
Specialist Solutions plc investor protection violation2011UK-FSA£35,000
ActivTrades Plc investor protection violation2011UK-FSA£85,750
Cricket Hill Financial Planning Limited investor protection violation2011UK-FSA£70,000
JJB Sports plc investor protection violation2011UK-FSA£455,000
Perspective Financial Management Limited investor protection violation2011UK-FSA£49,000
City Index Limited investor protection violation2011UK-FSA£490,000
Property Park Mortgages mortgage abuses2010UK-FSA£104,294
Bridging Loans Ltd mortgage abuses2010UK-FSA£42,000
Thorntons Law LLP investor protection violation2010UK-FSA£35,000
Moneywise IFA Limited investor protection violation2010UK-FSA£19,600
Redstone Mortgages Limited mortgage abuses2010UK-FSA£630,000
Photo-Me International plc investor protection violation2010UK-FSA£500,000
N-Hanced LLP investor protection violation2010UK-FSA£21,000
Vantage Capital Market LLP investor protection violation2010UK-FSA£700,000
Atlantic Law LLP investor protection violation2010UK-FSA£200,000
Alpari (UK) Limited anti-money-laundering deficiencies2010UK-FSA£140,000
Hythe Securities Limited investor protection violation2010UK-FSA£200,000