| Canara Bank | | | anti-money-laundering deficiencies | 2018 | UK-FCA | £896,100 |
| Tejoori Limited | | | investor protection violation | 2017 | UK-FCA | £70,000 |
| Sonali Bank (UK) Limited | | | anti-money-laundering deficiencies | 2016 | UK-FCA | £3,250,600 |
| Cenkos Securities Plc | | | investor protection violation | 2016 | UK-FCA | £530,500 |
| W H Ireland Limited | | | investor protection violation | 2016 | UK-FCA | £1,200,000 |
| Threadneedle Asset Management Limited | | | investor protection violation | 2015 | UK-FCA | £6,038,504 |
| John Joseph Financial Services Limited | | | investor protection violation | 2015 | UK-FCA | £20,000 |
| Mineworld Limited | | | investor protection violation | 2015 | UK-FCA | £5,000,000 |
| Da Vinci Invest Limited | | | investor protection violation | 2015 | UK-FCA | £1,460,000 |
| Asia Resource Minerals plc fka Bumi plc | | | investor protection violation | 2015 | UK-FCA | £4,651,200 |
| Bank of Beirut (UK) Ltd | | | anti-money-laundering deficiencies | 2015 | UK-FCA | £2,100,000 |
| Execution Noble & Company Limited | | | investor protection violation | 2014 | UK-FCA | £231,000 |
| Forex Capital Markets Ltd and FXCM Securities Ltd | | | investor protection violation | 2014 | UK-FCA | £4,000,000 |
| 7722656 Canada Inc. | | | investor protection violation | 2014 | UK-FCA | £8,000,000 |
| Westwood Independent Financial Planners | | | investor protection violation | 2013 | UK-FCA | £100,000 |
| SEI Investments (Europe) Limited | | | investor protection violation | 2013 | UK-FCA | £900,200 |
| Xcap Securities PLC | | | investor protection violation | 2013 | UK-FCA | £120,900 |
| Haysmacintyre LLP | | | accounting fraud or deficiencies | 2021 | UK-FRC | £70,000 |
| Arrandco Audit Ltd. | | | accounting fraud or deficiencies | 2018 | UK-FRC | £790,000 |
| Moore Stephens (NI) LLP | | | accounting fraud or deficiencies | 2016 | UK-FRC | £140,000 |
| Sixonethreeone Limited | | | accounting fraud or deficiencies | 2014 | UK-FRC | £450,000 |
| EFG Private Bank Ltd | | | anti-money-laundering deficiencies | 2013 | UK-FSA | £4,200,000 |
| 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 |
| Cheshire Mortgage Corporation Limited | | | mortgage abuses | 2012 | UK-FSA | £1,225,000 |
| Savoy Investment Management Limited | | | investor protection violation | 2012 | UK-FSA | £412,000 |
| James Sharp and Company | | | investor protection violation | 2012 | UK-FSA | £49,000 |
| Pi Financial Limited | | | investor protection violation | 2012 | UK-FSA | £58,300 |
| 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 |
| Greenlight Capital Inc. | | | insider trading | 2012 | UK-FSA | £3,650,795 |
| Topps Rogers Financial Management | | | investor protection violation | 2012 | UK-FSA | £97,600 |
| McInroy & Wood Limited | | | investor protection violation | 2011 | UK-FSA | £15,050 |
| 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 |
| 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 |
| 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 |
| Property Park Mortgages | | | mortgage abuses | 2010 | UK-FSA | £104,294 |
| Bridging Loans Ltd | | | mortgage abuses | 2010 | UK-FSA | £42,000 |
| Thorntons Law LLP | | | investor protection violation | 2010 | UK-FSA | £35,000 |
| Moneywise IFA Limited | | | investor protection violation | 2010 | UK-FSA | £19,600 |
| Redstone Mortgages Limited | | | mortgage abuses | 2010 | UK-FSA | £630,000 |
| Photo-Me International plc | | | investor protection violation | 2010 | UK-FSA | £500,000 |
| N-Hanced LLP | | | investor protection violation | 2010 | UK-FSA | £21,000 |
| Vantage Capital Market LLP | | | investor protection violation | 2010 | UK-FSA | £700,000 |
| Atlantic Law LLP | | | investor protection violation | 2010 | UK-FSA | £200,000 |
| Alpari (UK) Limited | | | anti-money-laundering deficiencies | 2010 | UK-FSA | £140,000 |
| Hythe Securities Limited | | | investor protection violation | 2010 | UK-FSA | £200,000 |
| Kensington Mortgage Company Limited | | | mortgage abuses | 2010 | UK-FSA | £1,225,000 |
| Getco Europe Limited | | | investor protection violation | 2010 | UK-FSA | £1,400,000 |
| Robin Bradford (Life and Pension Consultants) Ltd | | | investor protection violation | 2010 | UK-FSA | £24,500 |
| Direct Sharedeal Limited | | | investor protection violation | 2010 | UK-FSA | £101,500 |
| Sett Valley Insurance Services | | | investor protection violation | 2010 | UK-FSA | £28,000 |
| Shelby Finance Limited | | | payday lending violation | 2020 | UK-CMA | £527,863 |
| Shenzhen Qiao Zhuo E-Commerce Ltd | | | tax violations | 2019 | UK-HMRC | £1,411,508 |
| Data Market Group Ltd | | | tax violations | 2019 | UK-HMRC | £531,004 |
| eDistribute Ltd | | | tax violations | 2019 | UK-HMRC | £470,757 |
| Albert Spratt Construction | | | tax violations | 2019 | UK-HMRC | £455,854 |
| Sosia Constructions UK Ltd | | | tax violations | 2019 | UK-HMRC | £454,201 |
| William Firth & Son Limited | | | tax violations | 2019 | UK-HMRC | £423,339 |
| Alppa Pan | | | tax violations | 2019 | UK-HMRC | £291,155 |
| Golden 77 Limited | | | tax violations | 2019 | UK-HMRC | £281,451 |
| Allyan Ltd dba Canton Cuisine | | | tax violations | 2019 | UK-HMRC | £249,339 |
| AWM Accountant and Tax Advisors | | | tax violations | 2019 | UK-HMRC | £244,445 |
| Deluxe Printers Ltd | | | tax violations | 2019 | UK-HMRC | £243,278 |
| Haweli Twyford Ltd | | | tax violations | 2019 | UK-HMRC | £240,095 |
| MDistribution Limited dba Milano Pizza | | | tax violations | 2019 | UK-HMRC | £179,261 |
| Elite-Energy Recruitment Ltd | | | tax violations | 2019 | UK-HMRC | £168,521 |
| Einvoicing Limited fka UK Express Delivery Limited | | | tax violations | 2019 | UK-HMRC | £127,379 |
| Bilston High Street Fish Bar Ltd | | | tax violations | 2019 | UK-HMRC | £113,020 |
| Beycafe Ltd dba Frenchgate Cafe | | | tax violations | 2019 | UK-HMRC | £112,984 |
| Rocco Fashion Limited | | | tax violations | 2019 | UK-HMRC | £109,231 |
| Carr's BK Ltd | | | tax violations | 2019 | UK-HMRC | £105,395 |
| Liu Tang Ltd dba Sukho Fine Thai Cuisine | | | tax violations | 2019 | UK-HMRC | £98,302 |
| Newhold Limited | | | tax violations | 2019 | UK-HMRC | £86,988 |
| FM Software Ltd | | | tax violations | 2019 | UK-HMRC | £86,139 |
| Olympus Eyewear Europe Ltd | | | tax violations | 2019 | UK-HMRC | £85,766 |
| Porton Biopharma Limited | | | tax violations | 2019 | UK-HMRC | £80,361 |
| Tandoor Mahal (Maidstone) Ltd | | | tax violations | 2019 | UK-HMRC | £72,757 |
| Carlane Construction Ltd | | | tax violations | 2019 | UK-HMRC | £69,389 |
| A Hamilton Construction Ltd | | | tax violations | 2019 | UK-HMRC | £68,998 |
| Camac Engineering Ltd | | | tax violations | 2019 | UK-HMRC | £64,660 |
| Orbit Hosting Ltd | | | tax violations | 2019 | UK-HMRC | £64,032 |
| M P Pizza Ltd | | | tax violations | 2019 | UK-HMRC | £61,786 |
| J J Timisoreana Ltd | | | tax violations | 2019 | UK-HMRC | £61,411 |
| Tiger Vision Europe Ltd | | | tax violations | 2019 | UK-HMRC | £57,579 |
| A1 Transport | | | tax violations | 2019 | UK-HMRC | £49,791 |
| Liu Jian Ltd dba Suk Suran Fine Cuisine | | | tax violations | 2019 | UK-HMRC | £49,148 |
