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Violation Tracker UK Parent Industry Summary Page

Parent Industry: financial services
Penalty Total since 2010: £5,709,873,967
Number of Cases: 608
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£762,890,77610
NatWest Group PLC£703,562,89530
Barclays£535,912,70426
Lloyds Banking Group£468,009,03343
JPMorgan Chase£397,317,4475
Deutsche Bank£395,435,0245
HSBC£298,838,55517
Citigroup£282,197,5626
Glencore£280,965,0922
Macquarie£221,051,53089

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 icon . ParentOffence TypeYearAgencyPenalty Amount
Mercer Limited (Mercer)Marsh & McLennanpension plan violation2019UK-TPO£1,000
Mercer Limited (Mercer)Marsh & McLennanpension plan violation2014UK-TPO£0
Mercer Limited, in its capacity as administrator of the SchemeMarsh & McLennanpension plan violation2021UK-TPO£500
Mercer LtdMarsh & McLennanpension plan violation2012UK-TPO£224
Mercer Ltd.Marsh & McLennanpension plan violation2018UK-TPO£0
Mercer Ltd.Marsh & McLennanpension plan violation2013UK-TPO£350
Mercer Ltd.Marsh & McLennanpension plan violation2011UK-TPO£100
Mercer Ltd.Marsh & McLennanpension plan violation2011UK-TPO£250
Merrill Lynch InternationalBank of Americainvestor protection violation2017UK-FCA£34,524,000
Merrill Lynch InternationalBank of Americainvestor protection violation2015UK-FCA£13,285,900
Metro BankMetro Bank PLCconsumer protection violation2022UK-CMA£20,773
Metro Bank plcMetro Bank PLCbanking violation2020UK-CMA£11,400,000
Metro Bank plcMetro Bank PLCinternal controls deficiency2021UK-PRA£5,376,000
Metro Bank PLCMetro Bank PLCaccounting fraud or deficiencies2022UK-FCA£10,002,300
Moneybarn LtdProvident Financial PLCconsumer protection violation2020UK-FCA£2,774,400
Morgan Stanley & Co. International plcMorgan Stanleyenergy market violation2023UK-OFGEM£5,411,149
Morgan Stanley Services (UK) LimitedMorgan Stanleyenvironmental violation2017UK-EA£743
Morgan Stanley Services (UK) LimitedMorgan Stanleyenvironmental violation2017UK-EA£730
Morgan Stanley Services (UK) LimitedMorgan Stanleyenvironmental violation2017UK-EA£712
Morgan Stanley Services (UK) LimitedMorgan Stanleyenvironmental violation2017UK-EA£647
MUFG Securities EMEA plcMitsubishi UFJ Financial Groupinternal controls deficiency2017UK-PRA£8,925,000
National Australia BankNational Australia Bankpension plan violation2017UK-TPO£500
National Westminster Bank plcNatWest Group PLCconsumer protection violation2013UK-OFT£0
National Westminster Bank plcNatWest Group PLCanti-money-laundering deficiencies2021UK-FCA£264,772,619
National Westminster Bank Plc et al.NatWest Group PLCconsumer protection violation2022UK-PSR£1,820,000
Nationwide Building SocietyNationwide Building Societyinsurance violation2020UK-CMA£0
Nationwide Building SocietyNationwide Building Societybanking violation2020UK-CMA£900,000
Nationwide Building SocietyNationwide Building Societyinsurance violation2019UK-CMA£2,000,000
Nationwide Building SocietyNationwide Building Societybanking violation2019UK-CMA£6,000,000
Nationwide Building SocietyNationwide Building Societyconsumer protection violation2022UK-CMA£0
Nationwide Building SocietyNationwide Building Societyconsumer protection violation2023UK-CMA£0
NatWest GroupNatWest Group PLCbanking violation2021UK-CMA£0
NatWest GroupNatWest Group PLCconsumer protection violation2022UK-CMA£0
NatWest GroupNatWest Group PLCconsumer protection violation2022UK-CMA£0
NatWest Group plcNatWest Group PLCconsumer protection violation2022UK-CMA£600,000
NatWest Group plcNatWest Group PLCconsumer protection violation2022UK-CMA£0
NatWest Group plcNatWest Group PLCconsumer protection violation2023UK-CMA£0
Natwest Markets plcNatWest Group PLClabour standards violation2021UK-ET£3,999
Neovia Logistics Services (UK) LimitedGoldman Sachslabour standards violation2017UK-ET£30,000
Northern Bank Limited dba Danske BankDanske Bankconsumer protection violation2022UK-CMA£0
Northern Bank LtdDanske Bankconsumer protection violation2019UK-ECNI£2,000
Norwich and Peterborough Building SocietyYorkshire Building Societyinvestor protection violation2011UK-FSA£1,400,000
Parley Court Solar Park LtdThe Renewables Infrastructure Groupenvironmental violation2015UK-EA£0
PayPal Holdings, Inc. and PayPal (Europe) Sarl et Cie SCA and PayPal SEPayPal Holdingsinvestor protection violation2019UK-CMA£250,000
PayPoint PlcPayPoint Groupenergy market violation2021UK-OFGEM£12,500,000
Pearl Assurance LimitedPhoenix Group Holdings PLCpension plan violation2010UK-TPO£4,982
Pearson Jones and Company (Trustees) LtdAbrdn PLCpension plan violation2017UK-TPR£600
Phoenix LifePhoenix Group Holdings PLCpension plan violation2020UK-TPO£0
Phoenix LifePhoenix Group Holdings PLCpension plan violation2019UK-TPO£2,000
Phoenix LifePhoenix Group Holdings PLCpension plan violation2018UK-TPO£0
Phoenix Life (Phoenix)Phoenix Group Holdings PLCpension plan violation2019UK-TPO£500
Phoenix Life Assurance LtdPhoenix Group Holdings PLCpension plan violation2019UK-TPO£500
Phoenix Life Assurance Ltd.Phoenix Group Holdings PLCpension plan violation2020UK-TPO£2,000
Phoenix Life LimitedPhoenix Group Holdings PLCpension plan violation2018UK-TPO£500
Phoenix Life LimitedPhoenix Group Holdings PLCpension plan violation2017UK-TPO£1,000
Phoenix Life LimitedPhoenix Group Holdings PLCpension plan violation2017UK-TPO£0
Phoenix Life LimitedPhoenix Group Holdings PLCpension plan violation2017UK-TPO£1,000
Phoenix Life LimitedPhoenix Group Holdings PLCpension plan violation2016UK-TPO£300
Phoenix Life LimitedPhoenix Group Holdings PLCpension plan violation2015UK-TPO£0
Phoenix Life LimitedPhoenix Group Holdings PLCpension plan violation2011UK-TPO£250
Phoenix Life LtdPhoenix Group Holdings PLCpension plan violation2014UK-TPO£200
Phoenix Life LtdPhoenix Group Holdings PLCpension plan violation2014UK-TPO£250
Plus500UK LimitedPlus500 Limitedinvestor protection violation2012UK-FSA£205,128
Provident Personal Credit LtdProvident Financial PLCprivacy violation2017UK-ICO£80,000
PrudentialPrudential PLCprivacy violation2012UK-ICO£50,000
PrudentialPrudential PLCpension plan violation2020UK-TPO£7,238
PrudentialPrudential PLCpension plan violation2019UK-TPO£1,000
PrudentialPrudential PLCpension plan violation2019UK-TPO£500
PrudentialPrudential PLCpension plan violation2019UK-TPO£1,000
PrudentialPrudential PLCpension plan violation2018UK-TPO£250
PrudentialPrudential PLCpension plan violation2017UK-TPO£0
PrudentialPrudential PLCpension plan violation2017UK-TPO£2,727
PrudentialPrudential PLCpension plan violation2017UK-TPO£0
PrudentialPrudential PLCpension plan violation2016UK-TPO£0
PrudentialPrudential PLCpension plan violation2016UK-TPO£500
PrudentialPrudential PLCpension plan violation2014UK-TPO£0
PrudentialPrudential PLCpension plan violation2012UK-TPO£1,387
PrudentialPrudential PLCpension plan violation2011UK-TPO£520
PrudentialPrudential PLCpension plan violation2022UK-TPO£0
PrudentialPrudential PLCpension plan violation2023UK-TPO£500
Prudential Assurance Company LimitedM&G PLCpension plan violation2015UK-TPO£0
Prudential Assurance Company Limited.M&G PLCpension plan violation2012UK-TPO£7,171
Prudential Assurance Company LtdM&G PLCpension plan violation2011UK-TPO£500
Prudential plcPrudential PLCinvestor protection violation2013UK-FSA£14,000,000
RBS Retirement Savings Trustee LimitedNatWest Group PLCpension plan violation2020UK-TPO£500
ReAssurePhoenix Group Holdings PLCpension plan violation2022UK-TPO£1,000
ReAssure LimitedPhoenix Group Holdings PLCpension plan violation2021UK-TPO£400
ReAssure LimitedPhoenix Group Holdings PLCpension plan violation2020UK-TPO£1,000
ReAssure LimitedPhoenix Group Holdings PLCpension plan violation2013UK-TPO£2,401
ReAssure LimitedPhoenix Group Holdings PLCpension plan violation2022UK-TPO£3,000
ReAssure LtdPhoenix Group Holdings PLCpension plan violation2017UK-TPO£500
ReAssure LtdPhoenix Group Holdings PLCpension plan violation2013UK-TPO£2,668
ReAssure Ltd (ReAssure)Phoenix Group Holdings PLCpension plan violation2017UK-TPO£500
Rowan Dartington & Co LimitedSt. James's Place PLCinvestor protection violation2010UK-FSA£511,000
Royal & Sun Alliance Insurance PLCIntact Financial Corporationprivacy violation2017UK-ICO£150,000
Royal Bank of CanadaRoyal Bank of Canadalabour standards violation2021UK-ET£1,112,956
Royal Bank of CanadaRoyal Bank of Canadalabour standards violation2019UK-ET£8,100
Royal Bank of Scotland GroupNatWest Group PLCbanking violation2020UK-CMA£2,200,000
Royal Bank of Scotland GroupNatWest Group PLCinsurance violation2019UK-CMA£1,500,000
Royal Bank of Scotland GroupNatWest Group PLCpension plan violation2011UK-TPO£350
Royal Bank of Scotland Group plcNatWest Group PLCprice-fixing or anti-competitive practices2011UK-OFT£28,590,000