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Violation Tracker UK Parent Industry Summary Page

Parent Industry: financial services
Penalty Total since 2010: £5,859,335,625
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£703,650,59431
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.

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Company sort iconParentOffence TypeYearAgencyPenalty Amount
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2023UK-CMA£0
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2017UK-FCA£163,076,224
Deutsche Bank AGDeutsche Bankinterest rate benchmark manipulation2015UK-FCA£226,800,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2014UK-FCA£4,718,800
Direct Line Group Services Pension Scheme (1993)Direct Line Insurance Group PLCpension plan violation2020UK-TPR£500
Direct Line Insurance Services LtdDirect Line Insurance Group PLClabour standards violation2023UK-ET£64,645
DL Insurance Services LimitedDirect Line Insurance Group PLClabour standards violation2020UK-ET£11,216
DL Insurance Services LtdDirect Line Insurance Group PLClabour standards violation2020UK-ET£11,649
DL Insurance Services LtdDirect Line Insurance Group PLClabour standards violation2020UK-ET£36,998
DL Insurance Services plc and othersDirect Line Insurance Group PLClabour standards violation2020UK-ET£11,216
Drax Generation Enterprise LimitedVitolenvironmental violation2019UK-SEPA£600
Drax Generation Enterprise LimitedVitolenvironmental violation2019UK-SEPA£600
East Kent Road Car Company LimitedDeutsche Bankworkplace safety or health violation2022UK-HSE£0
East London Bus & Coach Company LtdDeutsche Banklabour standards violation2022UK-ET£13,668
EUI LtdAdmiral Grouplabour standards violation2019UK-ET£40,000
Fidelity InvestmentsFidelity Investmentspension plan violation2015UK-TPO£100
Friends LifeAviva PLCpension plan violation2018UK-TPO£500
Friends LifeAviva PLCpension plan violation2017UK-TPO£500
Friends LifeAviva PLCpension plan violation2017UK-TPO£0
Friends LifeAviva PLCpension plan violation2017UK-TPO£1,000
Friends LifeAviva PLCpension plan violation2017UK-TPO£500
Friends LifeAviva PLCpension plan violation2016UK-TPO£950
Friends LifeAviva PLCpension plan violation2015UK-TPO£100
Friends LifeAviva PLCpension plan violation2014UK-TPO£0
Friends LifeAviva PLCpension plan violation2014UK-TPO£900
Friends Life LimitedAviva PLCpension plan violation2017UK-TPO£1,000
Friends Life LimitedAviva PLCpension plan violation2014UK-TPO£0
Friends Life Services LimitedAviva PLCpension plan violation2014UK-TPO£2,300
Friends Life WL LimitedAviva PLCpension plan violation2013UK-TPO£200
Friends Provident Life and Pensions LimitedAviva PLCpension plan violation2010UK-TPO£12,706
Friends Provident Life and Pensions LimitedAviva PLCpension plan violation2010UK-TPO£3,278
GAM International Management LtdGAM Holding AGinvestor protection violation2022UK-FCA£9,103,523
Generali Worldwide Insurance Company LimitedAssicurazioni Generaliinsurance violation2013UK-GFSC£150,000
Glencore Energy (UK) LtdGlencorebribery2022UK-SFO£0
Glencore Energy (UK) LtdGlencorebribery2022UK-SFO£280,965,092
Goldman Sachs InternationalGoldman Sachsinvestor protection violation2020UK-FCA£48,308,400
Goldman Sachs InternationalGoldman Sachsinvestor protection violation2019UK-FCA£34,344,700
Goldman Sachs InternationalGoldman Sachsinvestor protection violation2010UK-FSA£17,500,000
Goldman Sachs InternationalGoldman Sachsrisk management failure2020UK-PRA£48,308,400
Greater Manchester Buses (South) LimitedDeutsche Banklabour standards violation2018UK-ET£40,354
Greater Manchester Buses South Ltd T/a Stagecoach ManchesterDeutsche Banklabour standards violation2022UK-ET£4,306
Guaranty Trust Bank (UK) LimitedGuaranty Trust Bank PLCanti-money-laundering deficiencies2013UK-FCA£525,000
Guaranty Trust Bank (UK) LimitedGuaranty Trust Bank PLCanti-money-laundering deficiencies2023UK-FCA£7,671,800
Hargreaves Lansdown Asset Management LimitedHargreaves Lansdown PLCpension plan violation2020UK-TPO£250
Hargreaves Lansdown Asset Management LimitedHargreaves Lansdown PLCpension plan violation2018UK-TPO£500
Hargreaves Lansdown Asset Management LimitedHargreaves Lansdown PLCpension plan violation2016UK-TPO£0
HBOS PlcLloyds Banking Grouplabour standards violation2017UK-ET£9,114
HBOS PlcLloyds Banking Grouplabour standards violation2020UK-ET£10,828
HBOS plcLloyds Banking Grouppension plan violation2021UK-TPO£500
HBOS PlcLloyds Banking Grouplabour standards violation2019UK-ET£49,457
HBOS plcLloyds Banking Grouplabour standards violation2022UK-ET£2,140
HBOS plcLloyds Banking Grouplabour standards violation2022UK-ET£22,304
Henderson Investment Funds Ltd.Janus Hendersoninvestor protection violation2019UK-FCA£1,867,900
HSBCHSBCconsumer protection violation2022UK-CMA£0
HSBCHSBCconsumer protection violation2022UK-CMA£0
HSBC Bank Pension Trust (UK) LimitedHSBCpension plan violation2017UK-TPO£1,000
HSBC Bank Pension Trust (UK) LimitedHSBCpension plan violation2013UK-TPO£500
HSBC Bank Pension Trust (UK) LimitedHSBCpension plan violation2012UK-TPO£500
HSBC Bank Pension Trust (UK) LtdHSBCpension plan violation2013UK-TPO£150
HSBC Bank PlcHSBClabour standards violation2017UK-ET£11,803
HSBC Bank plcHSBCforeign exchange market manipulation2014UK-FCA£216,363,000
HSBC Bank plcHSBCinvestor protection violation2011UK-FSA£10,500,000
HSBC Bank plcHSBCbanking violation2019UK-CMA£8,000,000
HSBC Bank plcHSBCbanking violation2014UK-CMA£0
HSBC Bank plcHSBCanti-money-laundering deficiencies2021UK-FCA£63,946,800
HSBC Bank plc and HSBC UK Bank plcHSBCinternal controls deficiency2024UK-PRA£57,417,500
HSBC Pension Trust (UK) LtdHSBCpension plan violation2019UK-TPO£1,000
HSBC UK Bank LtdHSBClabour standards violation2021UK-ET£13,802
HSBC UK Bank plcHSBCconsumer protection violation2022UK-CMA£0
HSBC UK Bank plcHSBCconsumer protection violation2023UK-CMA£0
HSBC UK Bank plcHSBCconsumer protection violation2023UK-CMA£0
ICAP Europe LtdTP ICAP PLCinterest rate benchmark manipulation2013UK-FCA£14,000,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinabribery2015UK-SFO£21,730,000
INFINIS (RE-GEN) LIMITED3i Infrastructure PLCenvironmental violation2013UK-EA£0
INFINIS (RE-GEN) LIMITED3i Infrastructure PLCenvironmental violation2013UK-EA£0
INFINIS (RE-GEN) LIMITED3i Infrastructure PLCenvironmental violation2013UK-EA£0
Instinet Europe LimitedNomurainvestor protection violation2010UK-FSA£1,050,000
Integrated Financial Arrangements plcIntegraFin Holdings PLCinvestor protection violation2011UK-FSA£3,500,000
Interactive Brokers (UK)Interactive Brokers Groupinvestor protection violation2018UK-FCA£1,049,412
International Automotive Components Group LimitedInvescoworkplace safety or health violation2014UK-HSE£9,310
Invesco Asset Management Limited and Invesco Fund Managers LimitedInvescoinvestor protection violation2014UK-FCA£18,643,000
J P Morgan Securities plcJPMorgan Chaselabour standards violation2021UK-ET£1,145,247
J.P. Morgan International Bank LimitedJPMorgan Chaseinvestor protection violation2013UK-FCA£3,076,200
J.P. Morgan Securities Ltd.JPMorgan Chaseinvestor protection violation2010UK-FSA£33,320,000
JLT Actuaries & Consultants LtdMarsh & McLennanpension plan violation2013UK-TPO£150
JLT Benefit SolutionsMarsh & McLennanpension plan violation2014UK-TPO£400
JLT Benefit Solutions LimitedMarsh & McLennanpension plan violation2019UK-TPO£1,000
JLT Benefit Solutions LtdMarsh & McLennanpension plan violation2020UK-TPO£1,000
JLT Benefit Solutions LtdMarsh & McLennanpension plan violation2013UK-TPO£300
JLT Benefit Solutions LtdMarsh & McLennanpension plan violation2012UK-TPO£1,000
JLT Benefit Solutions LtdMarsh & McLennanpension plan violation2012UK-TPO£1,000
JLT Benefit Solutions LtdMarsh & McLennanpension plan violation2012UK-TPO£500
JLT Benefit Solutions Ltd (JLT)Marsh & McLennanpension plan violation2011UK-TPO£0
JLT Benefits Solutions LimitedMarsh & McLennanpension plan violation2018UK-TPO£1,000
JLT Benefits Solutions LimitedMarsh & McLennanpension plan violation2017UK-TPO£500
JLT EB Services LimitedMarsh & McLennanpension plan violation2020UK-TPR£24,900
JLT Specialty LimitedMarsh & McLennaninsurance violation2013UK-FCA£1,876,000
JLT Specialty LimitedMarsh & McLennananti-money-laundering deficiencies2022UK-FCA£7,881,700
JPMorgan Chase Bank N.A.JPMorgan Chaseforeign exchange market manipulation2014UK-FCA£222,166,000
JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2013UK-FCA£137,610,000
Julius Baer International LimitedJulius Baer Groupinvestor protection violation2022UK-FCA£18,022,500