Basic Search  |  Summaries  |  Advanced Search

Violation Tracker UK Parent Industry Summary Page

Parent Industry: financial services
Penalty Total since 2010: £5,860,158,243
Number of Cases: 688
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall.
Top 10 Parent CompaniesPenalty TotalNumber of Cases
UBS£849,972,77611
NatWest Group PLC£704,658,93132
Barclays£535,912,70426
Lloyds Banking Group£472,797,68146
Deutsche Bank£397,989,24416
JPMorgan Chase£397,317,4475
HSBC£356,256,05518
Citigroup£282,197,5626
Glencore£280,965,0922
Macquarie£221,803,050127

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)
CompanyParentOffence TypeYearAgency sort iconPenalty Amount
Barclays Bank plcBarclaysinvestor protection violation2014UK-FCA£37,745,000
The Royal Bank of Scotland plc and National Westminster Bank PlcNatWest Group PLCmortgage abuses2014UK-FCA£14,474,600
Deutsche Bank AGDeutsche Bankinvestor protection violation2014UK-FCA£4,718,800
Lloyds Bank plc and Bank of Scotland plcLloyds Banking Groupinterest rate benchmark manipulation2014UK-FCA£105,000,000
Credit Suisse InternationalUBSinvestor protection violation2014UK-FCA£2,398,100
Yorkshire Building SocietyYorkshire Building Societyinvestor protection violation2014UK-FCA£1,429,000
Barclays Bank plcBarclaysinvestor protection violation2014UK-FCA£26,033,500
Invesco Asset Management Limited and Invesco Fund Managers LimitedInvescoinvestor protection violation2014UK-FCA£18,643,000
Santander UK plcBanco Santanderinvestor protection violation2014UK-FCA£12,377,800
Besso LimitedArdonagh Groupinvestor protection violation2014UK-FCA£315,000
State Street Bank Europe Limited and State Street Global Markets International LimitedState Street Corp.investor protection violation2014UK-FCA£22,885,000
Standard Bank PLCIndustrial and Commercial Bank of Chinaanti-money-laundering deficiencies2014UK-FCA£7,640,400
JLT Specialty LimitedMarsh & McLennaninsurance violation2013UK-FCA£1,876,000
Lloyds Bank plc and Bank of Scotland plcLloyds Banking Groupinvestor protection violation2013UK-FCA£28,038,800
Cooperatieve Centrale Raiffeisen-Boerenleenbank B.A.Rabobankinterest rate benchmark manipulation2013UK-FCA£105,000,000
ICAP Europe LtdTP ICAP PLCinterest rate benchmark manipulation2013UK-FCA£14,000,000
Clydesdale Bank PLCVirgin Money UK PLCconsumer protection violation2013UK-FCA£8,904,000
JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2013UK-FCA£137,610,000
AXA Wealth Services LtdPhoenix Group Holdings PLCinvestor protection violation2013UK-FCA£1,802,200
Aberdeen Asset Managers Limited and Aberdeen Fund Management LimitedAbrdn PLCinvestor protection violation2013UK-FCA£7,192,500
Guaranty Trust Bank (UK) LimitedGuaranty Trust Bank PLCanti-money-laundering deficiencies2013UK-FCA£525,000
The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V.NatWest Group PLCinvestor protection violation2013UK-FCA£5,620,300
Sesame LimitedAviva PLCinvestor protection violation2013UK-FCA£6,031,200
J.P. Morgan International Bank LimitedJPMorgan Chaseinvestor protection violation2013UK-FCA£3,076,200
Credit SuisseUBSbanking violation2021UK-FCA£292,209,276
Sunrise Brokers LLPBGC Partnersanti-money-laundering deficiencies2021UK-FCA£642,400
HSBC Bank plcHSBCanti-money-laundering deficiencies2021UK-FCA£63,946,800
National Westminster Bank plcNatWest Group PLCanti-money-laundering deficiencies2021UK-FCA£264,772,619
Barclays Bank PlcBarclaysconsumer protection violation2022UK-FCA£10,860,743
JLT Specialty LimitedMarsh & McLennananti-money-laundering deficiencies2022UK-FCA£7,881,700
GAM International Management LtdGAM Holding AGinvestor protection violation2022UK-FCA£9,103,523
Citigroup Global Markets LimitedCitigroupinvestor protection violation2022UK-FCA£12,553,800
Metro Bank PLCMetro Bank PLCaccounting fraud or deficiencies2022UK-FCA£10,002,300
Santander UK PlcBanco Santanderanti-money-laundering deficiencies2022UK-FCA£107,793,300
Julius Baer International LimitedJulius Baer Groupinvestor protection violation2022UK-FCA£18,022,500
Guaranty Trust Bank (UK) LimitedGuaranty Trust Bank PLCanti-money-laundering deficiencies2023UK-FCA£7,671,800
TSB Bank plcBanco de Sabadellinternal controls deficiency2022UK-FCA£29,750,000
DB UK Bank Limited dba DB MortgagesDeutsche Bankmortgage abuses2010UK-FSA£2,340,000
The Prudential Assurance Company LimitedM&G PLCinvestor protection violation2013UK-FSA£16,000,000
Prudential plcPrudential PLCinvestor protection violation2013UK-FSA£14,000,000
UBS AGUBSinvestor protection violation2013UK-FSA£9,450,000
The Royal Bank of Scotland plcNatWest Group PLCinterest rate benchmark manipulation2013UK-FSA£87,500,000
The Co-operative Bank plcCo-operative Bankconsumer protection violation2013UK-FSA£113,300
UBS AGUBSinterest rate benchmark manipulation2012UK-FSA£160,000,000
UBS AGUBSinvestor protection violation2012UK-FSA£29,700,000
Plus500UK LimitedPlus500 Limitedinvestor protection violation2012UK-FSA£205,128
Bank of ScotlandLloyds Banking Groupconsumer protection violation2012UK-FSA£4,200,000
Sun Life Assurance Company of Canada (UK) LimitedSun Life Financialinvestor protection violation2012UK-FSA£600,000
Blackrock Investment Management (UK) LimitedBlackRockinvestor protection violation2012UK-FSA£9,533,100
Barclays Bank plcBarclaysinterest rate benchmark manipulation2012UK-FSA£59,500,000
Coutts & CompanyNatWest Group PLCanti-money-laundering deficiencies2012UK-FSA£8,750,000
Santander UK plcBanco Santanderinvestor protection violation2012UK-FSA£1,500,000
UK Insurance LimitedDirect Line Insurance Group PLCinsurance violation2012UK-FSA£2,170,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2011UK-FSA£2,800,000
Integrated Financial Arrangements plcIntegraFin Holdings PLCinvestor protection violation2011UK-FSA£3,500,000
HSBC Bank plcHSBCinvestor protection violation2011UK-FSA£10,500,000
Coutts & CompanyNatWest Group PLCinvestor protection violation2011UK-FSA£6,300,000
Credit Suisse (UK) LimitedUBSinvestor protection violation2011UK-FSA£5,950,000
Willis LimitedWillis Towers Watsonbribery2011UK-FSA£6,895,000
Bank of Scotland PlcLloyds Banking Groupinvestor protection violation2011UK-FSA£3,500,000
Norwich and Peterborough Building SocietyYorkshire Building Societyinvestor protection violation2011UK-FSA£1,400,000
Barclays Capital Securities LimitedBarclaysinvestor protection violation2011UK-FSA£1,127,559
Barclays Bank plcBarclaysinvestor protection violation2011UK-FSA£7,700,000
Royal Bank of Scotland Plc and National Westminster Bank PlcNatWest Group PLCconsumer protection violation2011UK-FSA£2,800,000
Scottish Equitable PLCAegoninvestor protection violation2010UK-FSA£2,800,000
Goldman Sachs InternationalGoldman Sachsinvestor protection violation2010UK-FSA£17,500,000
Societe GeneraleSociete Generaleinvestor protection violation2010UK-FSA£1,575,000
Zurich Insurance PlcZurich Insuranceprivacy violation2010UK-FSA£2,275,000
The Royal Bank of Scotland plc et al.NatWest Group PLCanti-money-laundering deficiencies2010UK-FSA£5,600,000
Rowan Dartington & Co LimitedSt. James's Place PLCinvestor protection violation2010UK-FSA£511,000
Close Investments LimitedClose Brothers Group PLCinvestor protection violation2010UK-FSA£98,000
J.P. Morgan Securities Ltd.JPMorgan Chaseinvestor protection violation2010UK-FSA£33,320,000
Commerzbank AGCommerzbankinvestor protection violation2010UK-FSA£595,000
Winterflood Securities LimitedClose Brothers Group PLCinvestor protection violation2010UK-FSA£4,052,500
Credit Suisse Securities (Europe) Limited et al.UBSinvestor protection violation2010UK-FSA£1,750,000
Instinet Europe LimitedNomurainvestor protection violation2010UK-FSA£1,050,000
Standard Life Assurance LimitedPhoenix Group Holdings PLCinvestor protection violation2010UK-FSA£2,450,000
Generali Worldwide Insurance Company LimitedAssicurazioni Generaliinsurance violation2013UK-GFSC£150,000
BNY Mellon Corporate Trustee Services Ltd TCSPBank of New York Mellonanti-money-laundering deficiencies2021UK-HMRC£9,465
Scotwaste Recycling LimitedMacquarieworkplace safety or health violation2021UK-HSE£0
Alliance Medical Radiopharmacy LimitediCON Infrastructureworkplace safety or health violation2019UK-HSE£0
Alliance Medical Radiopharmacy LimitediCON Infrastructureworkplace safety or health violation2019UK-HSE£0
Alliance Medical Radiopharmacy LimitediCON Infrastructureworkplace safety or health violation2019UK-HSE£0
Stagecoach Devon LimitedDeutsche Bankworkplace safety or health violation2019UK-HSE£0
Associated Waste Management LimitedMacquarieworkplace safety or health violation2019UK-HSE£0
Associated Waste Management LimitedMacquarieworkplace safety or health violation2019UK-HSE£0
Alliance Medical LtdiCON Infrastructureworkplace safety or health violation2019UK-HSE£0
Alliance Medical LtdiCON Infrastructureworkplace safety or health violation2019UK-HSE£0
Alliance Medical LtdiCON Infrastructureworkplace safety or health violation2019UK-HSE£0
Alliance Medical LtdiCON Infrastructureworkplace safety or health violation2019UK-HSE£0
Associated Waste Management LimitedMacquarieworkplace safety or health violation2018UK-HSE£0
BNP Paribas Real Estate Advisory & Property ManageBNP Paribasworkplace safety or health violation2017UK-HSE£0
Alliance Medical LtdiCON Infrastructureworkplace safety or health violation2017UK-HSE£0
Alliance Medical LtdiCON Infrastructureworkplace safety or health violation2017UK-HSE£0
Alliance Medical LtdiCON Infrastructureworkplace safety or health violation2017UK-HSE£0
WSR Recycling LimitedMacquarieworkplace safety or health violation2016UK-HSE£0
International Automotive Components Group LimitedInvescoworkplace safety or health violation2014UK-HSE£9,310
Cambus LimitedDeutsche Bankworkplace safety or health violation2013UK-HSE£555,401
Allianz Engineering Inspection Services LtdAllianzworkplace safety or health violation2010UK-HSE£14,232
East Kent Road Car Company LimitedDeutsche Bankworkplace safety or health violation2022UK-HSE£0
Alliance Medical LimitediCON Infrastructureworkplace safety or health violation2022UK-HSE£311,382