| Credit Suisse International | UBS | financial services | investor protection violation | 2014 | UK-FCA | £2,398,100 |
| Yorkshire Building Society | Yorkshire Building Society | financial services | investor protection violation | 2014 | UK-FCA | £1,429,000 |
| Barclays Bank plc | Barclays | financial services | investor protection violation | 2014 | UK-FCA | £26,033,500 |
| Invesco Asset Management Limited and Invesco Fund Managers Limited | Invesco | financial services | investor protection violation | 2014 | UK-FCA | £18,643,000 |
| Santander UK plc | Banco Santander | financial services | investor protection violation | 2014 | UK-FCA | £12,377,800 |
| Besso Limited | Ardonagh Group | financial services | investor protection violation | 2014 | UK-FCA | £315,000 |
| Forex Capital Markets Ltd and FXCM Securities Ltd | | | investor protection violation | 2014 | UK-FCA | £4,000,000 |
| State Street Bank Europe Limited and State Street Global Markets International Limited | State Street Corp. | financial services | investor protection violation | 2014 | UK-FCA | £22,885,000 |
| 7722656 Canada Inc. | | | investor protection violation | 2014 | UK-FCA | £8,000,000 |
| Standard Bank PLC | Industrial and Commercial Bank of China | financial services | anti-money-laundering deficiencies | 2014 | UK-FCA | £7,640,400 |
| Sixonethreeone Limited | | | accounting fraud or deficiencies | 2014 | UK-FRC | £450,000 |
| Mazars LLP | Mazars LLP | business services | accounting fraud or deficiencies | 2014 | UK-FRC | £1,870,000 |
| AIB Group (UK) plc dba First Trust Bank | Allied Irish Banks | financial services | banking violation | 2014 | UK-CMA | £0 |
| HSBC Bank plc | HSBC | financial services | banking violation | 2014 | UK-CMA | £0 |
| Work Legal-E Ltd. | | | tax violations | 2014 | UK-HMRC | £18,747,375 |
| Premier Waste & Recycling Ltd | | | tax violations | 2014 | UK-HMRC | £2,806,526 |
| Lloyds Management Limited | | | tax violations | 2014 | UK-HMRC | £92,124 |
| DNB Leisure Ltd dba The Bell Rock Restaurant | | | tax violations | 2014 | UK-HMRC | £77,312 |
| Caterers Friend Limited | | | tax violations | 2014 | UK-HMRC | £55,771 |
| Mi Julies Chippy | | | tax violations | 2014 | UK-HMRC | £48,448 |
| Aglow Fashions Ltd | | | tax violations | 2014 | UK-HMRC | £48,331 |
| KDCNI.COM Ltd | | | tax violations | 2014 | UK-HMRC | £33,801 |
| Ryebridge Limited | | | tax violations | 2014 | UK-HMRC | £33,481 |
| Wessex Biodiesel Ltd | | | tax violations | 2014 | UK-HMRC | £30,209 |
| Sehar Holdings Ltd | | | tax violations | 2014 | UK-HMRC | £25,678 |
| First Industries Limited | | | tax violations | 2014 | UK-HMRC | £22,630 |
| Business Focus & Systems Limited | | | accounting fraud or deficiencies | 2014 | UK-ICAEW | £10,442 |
| Cox Costello & Horne Limited | | | accounting fraud or deficiencies | 2014 | UK-ICAEW | £20,380 |
| Wells Professional Partnership LLP | | | accounting fraud or deficiencies | 2014 | UK-ICAEW | £16,705 |
| Jackson Grundy Limited | | | anti-money-laundering deficiencies | 2014 | UK-OFT | £169,652 |
| Hastings International UK Limited | | | anti-money-laundering deficiencies | 2014 | UK-OFT | £47,966 |
| Jeffrey Ross Ltd. | | | anti-money-laundering deficiencies | 2014 | UK-OFT | £29,000 |
| Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd. | NatWest Group PLC | financial services | internal controls deficiency | 2014 | UK-PRA | £14,000,000 |
| Lloyds Banking Group | Lloyds Banking Group | financial services | interest rate benchmark manipulation | 2014 | UK-PRA | £7,760,000 |
| Guernsey Insurance Brokers Limited | | | investor protection violation | 2014 | UK-GFSC | £8,000 |
| Ahli United Bank (UK) PLC | | | anti-money-laundering deficiencies | 2014 | UK-GFSC | £70,000 |
| Willow Trust Limited | | | anti-money-laundering deficiencies | 2014 | UK-GFSC | £30,000 |
| The Channel Islands Stock Exchange, LBG | | | investor protection violation | 2014 | UK-GFSC | £190,000 |
| Lloyds Bank plc and Bank of Scotland plc | Lloyds Banking Group | financial services | investor protection violation | 2013 | UK-FCA | £28,038,800 |
| Westwood Independent Financial Planners | | | investor protection violation | 2013 | UK-FCA | £100,000 |
| SEI Investments (Europe) Limited | | | investor protection violation | 2013 | UK-FCA | £900,200 |
| JPMorgan Chase Bank N.A. | JPMorgan Chase | financial services | investor protection violation | 2013 | UK-FCA | £137,610,000 |
| AXA Wealth Services Ltd | Phoenix Group Holdings PLC | financial services | investor protection violation | 2013 | UK-FCA | £1,802,200 |
| Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited | Abrdn PLC | financial services | investor protection violation | 2013 | UK-FCA | £7,192,500 |
| Guaranty Trust Bank (UK) Limited | Guaranty Trust Bank PLC | financial services | anti-money-laundering deficiencies | 2013 | UK-FCA | £525,000 |
| The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V. | NatWest Group PLC | financial services | investor protection violation | 2013 | UK-FCA | £5,620,300 |
| Sesame Limited | Aviva PLC | financial services | investor protection violation | 2013 | UK-FCA | £6,031,200 |
| Xcap Securities PLC | | | investor protection violation | 2013 | UK-FCA | £120,900 |
| J.P. Morgan International Bank Limited | JPMorgan Chase | financial services | investor protection violation | 2013 | UK-FCA | £3,076,200 |
| EFG Private Bank Ltd | | | anti-money-laundering deficiencies | 2013 | UK-FSA | £4,200,000 |
| The Prudential Assurance Company Limited | M&G PLC | financial services | investor protection violation | 2013 | UK-FSA | £16,000,000 |
| Prudential plc | Prudential PLC | financial services | investor protection violation | 2013 | UK-FSA | £14,000,000 |
| Care Asset Management Limited | | | investor protection violation | 2013 | UK-FSA | £56,000 |
| Lamprell plc | | | investor protection violation | 2013 | UK-FSA | £2,428,300 |
| Nestor Healthcare Group Limited | | | investor protection violation | 2013 | UK-FSA | £175,000 |
| UBS AG | UBS | financial services | investor protection violation | 2013 | UK-FSA | £9,450,000 |
| MCO Capital Limited | | | anti-money-laundering deficiencies | 2013 | UK-OFT | £544,505 |
| IPS Estate Agents Limited | | | anti-money-laundering deficiencies | 2013 | UK-OFT | £11,844 |
| Generali Worldwide Insurance Company Limited | Assicurazioni Generali | financial services | insurance violation | 2013 | UK-GFSC | £150,000 |
| Cheshire Mortgage Corporation Limited | | | mortgage abuses | 2012 | UK-FSA | £1,225,000 |
| UBS AG | UBS | financial services | investor protection violation | 2012 | UK-FSA | £29,700,000 |
| Savoy Investment Management Limited | | | investor protection violation | 2012 | UK-FSA | £412,000 |
| Plus500UK Limited | Plus500 Limited | financial services | investor protection violation | 2012 | UK-FSA | £205,128 |
| James Sharp and Company | | | investor protection violation | 2012 | UK-FSA | £49,000 |
| Sun Life Assurance Company of Canada (UK) Limited | Sun Life Financial | financial services | investor protection violation | 2012 | UK-FSA | £600,000 |
| Pi Financial Limited | | | investor protection violation | 2012 | UK-FSA | £58,300 |
| Blackrock Investment Management (UK) Limited | BlackRock | financial services | investor protection violation | 2012 | UK-FSA | £9,533,100 |
| Turkish Bank (UK) Ltd | | | anti-money-laundering deficiencies | 2012 | UK-FSA | £294,000 |
| Mosley & Company | | | investor protection violation | 2012 | UK-FSA | £10,500 |
| Habib Bank AG Zurich | | | anti-money-laundering deficiencies | 2012 | UK-FSA | £525,000 |
| Martin Currie Investment Management Limited and Martin Currie Inc | | | investor protection violation | 2012 | UK-FSA | £3,500,000 |
| Exillon Energy plc | | | investor protection violation | 2012 | UK-FSA | £292,950 |
| Accendo Markets Limited | | | investor protection violation | 2012 | UK-FSA | £56,000 |
| Christchurch Investment Management Limited | | | investor protection violation | 2012 | UK-FSA | £26,600 |
| Coutts & Company | NatWest Group PLC | financial services | anti-money-laundering deficiencies | 2012 | UK-FSA | £8,750,000 |
| Santander UK plc | Banco Santander | financial services | investor protection violation | 2012 | UK-FSA | £1,500,000 |
| Greenlight Capital Inc. | | | insider trading | 2012 | UK-FSA | £3,650,795 |
| Topps Rogers Financial Management | | | investor protection violation | 2012 | UK-FSA | £97,600 |
| Wonga.com Ltd. | | | payday lending violation | 2012 | UK-OFT | £0 |
| RSM Robson Rhodes LLP | Grant Thornton | business services | accounting fraud or deficiencies | 2011 | UK-FRC | £975,000 |
| Integrated Financial Arrangements plc | IntegraFin Holdings PLC | financial services | investor protection violation | 2011 | UK-FSA | £3,500,000 |
| HSBC Bank plc | HSBC | financial services | investor protection violation | 2011 | UK-FSA | £10,500,000 |
| McInroy & Wood Limited | | | investor protection violation | 2011 | UK-FSA | £15,050 |
| Coutts & Company | NatWest Group PLC | financial services | investor protection violation | 2011 | UK-FSA | £6,300,000 |
| Credit Suisse (UK) Limited | UBS | financial services | investor protection violation | 2011 | UK-FSA | £5,950,000 |
| Towry Investment Management Limited | | | investor protection violation | 2011 | UK-FSA | £494,900 |
| Rockingham Independent Limited | | | investor protection violation | 2011 | UK-FSA | £35,000 |
| Lewis Partnership | | | mortgage abuses | 2011 | UK-FSA | £106,499 |
| Swift 1st Limited | | | mortgage abuses | 2011 | UK-FSA | £630,000 |
| Fox Hayes | | | investor protection violation | 2011 | UK-FSA | £454,770 |
| Bank of Scotland Plc | Lloyds Banking Group | financial services | investor protection violation | 2011 | UK-FSA | £3,500,000 |
| Norwich and Peterborough Building Society | Yorkshire Building Society | financial services | investor protection violation | 2011 | UK-FSA | £1,400,000 |
| Specialist Solutions plc | | | investor protection violation | 2011 | UK-FSA | £35,000 |
| ActivTrades Plc | | | investor protection violation | 2011 | UK-FSA | £85,750 |
| Cricket Hill Financial Planning Limited | | | investor protection violation | 2011 | UK-FSA | £70,000 |
| Barclays Capital Securities Limited | Barclays | financial services | investor protection violation | 2011 | UK-FSA | £1,127,559 |
| JJB Sports plc | | | investor protection violation | 2011 | UK-FSA | £455,000 |
| Perspective Financial Management Limited | | | investor protection violation | 2011 | UK-FSA | £49,000 |
| City Index Limited | | | investor protection violation | 2011 | UK-FSA | £490,000 |
| Barclays Bank plc | Barclays | financial services | investor protection violation | 2011 | UK-FSA | £7,700,000 |
| DB UK Bank Limited dba DB Mortgages | Deutsche Bank | financial services | mortgage abuses | 2010 | UK-FSA | £2,340,000 |
