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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.

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Company sort iconParentOffence TypeYearAgencyPenalty Amount
Southern Water Services LtdMacquariewater pollution violation2022UK-DWI£65,571
Southern Water Services LtdMacquariewater pollution violation2018UK-DWI£109,620
Southern Water Services LtdMacquariewater pollution violation2017UK-DWI£530,000
Southern Water Services Ltd Registered CompanyMacquarieenvironmental violation2021UK-EA£0
St James' Place Wealth ManagementSt. James's Place PLCpension plan violation2015UK-TPO£50
St James's Place Wealth ManagementSt. James's Place PLCpension plan violation2019UK-TPO£1,000
Stagecoach Devon LimitedDeutsche Bankworkplace safety or health violation2019UK-HSE£0
Stagecoach Devon LimitedDeutsche Bankworkplace safety or health violation2022UK-HSE£398,000
Stagecoach Devon Ltd t/a Stagecoach South WestDeutsche Banklabour standards violation2018UK-ET£5,500
Stagecoach North EastDeutsche Bankpension plan violation2012UK-TPO£200
Standard Bank PLCIndustrial and Commercial Bank of Chinaanti-money-laundering deficiencies2014UK-FCA£7,640,400
Standard Chartered BankStandard Charteredanti-money-laundering deficiencies2019UK-FCA£102,163,200
Standard Chartered BankStandard Charteredeconomic sanction violation2020UK-OFSI£20,471,810
Standard Chartered BankStandard Charteredinternal controls deficiency2021UK-PRA£46,550,000
Standard LifePhoenix Group Holdings PLCpension plan violation2017UK-TPO£750
Standard LifePhoenix Group Holdings PLCpension plan violation2015UK-TPO£3,395
Standard LifePhoenix Group Holdings PLCpension plan violation2012UK-TPO£1,000
Standard Life Assurance LimitedPhoenix Group Holdings PLCinvestor protection violation2019UK-FCA£30,792,500
Standard Life Assurance LimitedPhoenix Group Holdings PLCinvestor protection violation2010UK-FSA£2,450,000
Standard Life Assurance LimitedPhoenix Group Holdings PLCpension plan violation2015UK-TPO£0
Standard Life Assurance LimitedPhoenix Group Holdings PLCpension plan violation2014UK-TPO£300
Standard Life Assurance LimitedPhoenix Group Holdings PLCpension plan violation2014UK-TPO£200
Standard Life Assurance LimitedPhoenix Group Holdings PLCpension plan violation2011UK-TPO£28,123
Standard Life Assurance LimitedPhoenix Group Holdings PLCpension plan violation2010UK-TPO£0
Standard Life Assurance LtdPhoenix Group Holdings PLCpension plan violation2011UK-TPO£1,689
Standard Life Assurance LtdPhoenix Group Holdings PLCpension plan violation2011UK-TPO£0
State Street Bank Europe Limited and State Street Global Markets International LimitedState Street Corp.investor protection violation2014UK-FCA£22,885,000
Sun Life Assurance Company of Canada (UK) LimitedSun Life Financialinvestor protection violation2012UK-FSA£600,000
Sun Life Financial of CanadaSun Life Financialpension plan violation2013UK-TPO£150
Sun Life Financial of CanadaSun Life Financialpension plan violation2010UK-TPO£250
Sunrise Brokers LLPBGC Partnersanti-money-laundering deficiencies2021UK-FCA£642,400
Swiss Re Corporate Solutions Services LtdSwiss Relabour standards violation2023UK-ET£1,287
The Bank of New York Mellon International Limited et al.Bank of New York Melloninvestor protection violation2015UK-FCA£126,000,000
The Co-operative Bank plcCo-operative Bankconsumer protection violation2013UK-FSA£113,300
The Co-Operative Bank PLCCo-operative Banklabour standards violation2019UK-ET£4,775
The Law Debenture Pension Trust CorporationLaw Debenture Corporation PLCpension plan violation2017UK-TPR£2,000
The Prudential Assurance Company LimitedM&G PLCinvestor protection violation2019UK-FCA£23,875,000
The Prudential Assurance Company LimitedM&G PLCinvestor protection violation2013UK-FSA£16,000,000
The Prudential Assurance Company LimitedM&G PLCpension plan violation2011UK-TPO£483
The Royal Bank of Scotland Group PLCNatWest Group PLCpension plan violation2018UK-TPO£0
The Royal Bank of Scotland International LimitedNatWest Group PLCanti-money-laundering deficiencies2024UK-IOM£1,008,337
The Royal Bank of Scotland plcNatWest Group PLClabour standards violation2017UK-ET£20,870
The Royal Bank of Scotland plcNatWest Group PLClabour standards violation2017UK-ET£3,148
The Royal Bank of Scotland plcNatWest Group PLCforeign exchange market manipulation2014UK-FCA£217,000,000
The Royal Bank of Scotland plcNatWest Group PLCinterest rate benchmark manipulation2013UK-FSA£87,500,000
The Royal Bank of Scotland PLCNatWest Group PLClabour standards violation2018UK-ET£6,509
The Royal Bank of Scotland plc and National Westminster Bank PlcNatWest Group PLCmortgage abuses2014UK-FCA£14,474,600
The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V.NatWest Group PLCinvestor protection violation2013UK-FCA£5,620,300
The Royal Bank of Scotland plc et al.NatWest Group PLCanti-money-laundering deficiencies2010UK-FSA£5,600,000
The Royal London Mutual Insurance SocietyRoyal London Mutual Insurancepension plan violation2013UK-TPO£300
The Royal London Mutual Insurance Society LtdRoyal London Mutual Insurancepension plan violation2011UK-TPO£2,700
The Societe Generale Pension PlanSociete Generalepension plan violation2018UK-TPR£504
The Yorkshire Traction Company LtdDeutsche Banklabour standards violation2021UK-ET£4,492
Towers WatsonWillis Towers Watsonpension plan violation2015UK-TPO£100
Towers WatsonWillis Towers Watsonpension plan violation2013UK-TPO£0
Towers Watson LimitedWillis Towers Watsonpension plan violation2015UK-TPO£750
Trustees of the Aviva Staff Pension SchemeAviva PLCpension plan violation2019UK-TPO£1,000
TSB Bank plcBanco de Sabadellinternal controls deficiency2022UK-FCA£29,750,000
TSB Bank plcBanco de Sabadellinternal controls deficiency2022UK-PRA£18,900,000
TSB Bank plcBanco de Sabadellconsumer protection violation2023UK-CMA£0
Tullett Prebon (Europe) LimitedTP ICAP PLCinvestor protection violation2019UK-FCA£15,400,000
Tullett Prebon GroupTP ICAP PLClabour standards violation2019UK-ET£69,682
UBS AGUBSinvestor protection violation2019UK-FCA£27,599,400
UBS AGUBSforeign exchange market manipulation2014UK-FCA£233,814,000
UBS AGUBSinvestor protection violation2013UK-FSA£9,450,000
UBS AGUBSinterest rate benchmark manipulation2012UK-FSA£160,000,000
UBS AGUBSinvestor protection violation2012UK-FSA£29,700,000
UK Insurance LimitedDirect Line Insurance Group PLCinsurance violation2012UK-FSA£2,170,000
Vanquis Bank LimitedVanquis Banking Groupconsumer protection violation2018UK-FCA£13,852,000
Vanquis Bank LimitedVanquis Banking Groupprivacy violation2017UK-ICO£75,000
Virgin Money UK plcVirgin Money UK PLCbanking violation2021UK-CMA£0
Virgin Money UK plcVirgin Money UK PLCconsumer protection violation2022UK-CMA£0
Willis LimitedWillis Towers Watsonbribery2011UK-FSA£6,895,000
Willis Towers WatsonWillis Towers Watsonpension plan violation2020UK-TPO£25,522
Willis Towers WatsonWillis Towers Watsonpension plan violation2020UK-TPO£500
Willis Towers WatsonWillis Towers Watsonpension plan violation2020UK-TPO£500
Willis Towers WatsonWillis Towers Watsonpension plan violation2019UK-TPO£0
Willis Towers Watson and Lloyds Banking Group Pensions Trustees LimitedWillis Towers Watsonpension plan violation2019UK-TPO£1,000
Willis Towers Watson and The Trustee of the Honeywell UK Pension SchemeWillis Towers Watsonpension plan violation2020UK-TPO£1,000
Winterflood Securities LimitedClose Brothers Group PLCinvestor protection violation2010UK-FSA£4,052,500
WSR Recycling LimitedMacquarieworkplace safety or health violation2016UK-HSE£0
Yorkshire Building SocietyYorkshire Building Societymortgage abuses2014UK-FCA£4,135,600
Yorkshire Building SocietyYorkshire Building Societyinvestor protection violation2014UK-FCA£1,429,000
Zurich Assurance LimitedZurich Insurancepension plan violation2018UK-TPO£0
Zurich Assurance LimitedZurich Insurancepension plan violation2012UK-TPO£5,795
Zurich Assurance LtdZurich Insurancepension plan violation2013UK-TPO£0
Zurich Insurance PlcZurich Insuranceprivacy violation2010UK-FSA£2,275,000
Zurich Insurance plcZurich Insuranceprice-fixing or anti-competitive practices2011UK-OFT£0