Bank of Ireland UK plc
Bank of Ireland
Bank of Ireland
0
2021
20210622
competition-related offences
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Bank of Ireland was notified it breached Article 20.6.1 of the Retail Banking Market Investigation Order, which requires Transaction Histories to be provided to at least 95% of former customers within 10 working days of closing the account.
agency action
UK-CMA
Competition and Markets Authority
Ireland
publicly traded
financial services
banking
IE00BD1RP616
https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/995459/Embargo_final_public_letter_to_BoI_.pdf
UK21-164
NatWest Group
NatWest Group PLC
NatWest Group PLC
0
2021
20210622
competition-related offences
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NatWest was notified it breached Article 20.6.2 of the Retail Banking Market Investigation Order, which requires all Transaction Histories to be sent within 40 days of the account being closed (unless an exception applies).
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/995345/Public_letter_to_NatWest_2021__.pdf
UK21-166
Virgin Money UK plc
Virgin Money UK PLC
Virgin Money UK PLC
0
2021
20210622
competition-related offences
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Virgin Money was notified it breached Article 20.6.2 of the Retail Banking Market Investigation Order, which requires all Transaction Histories to be sent within 40 days of the account being closed (unless an exception applies).
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB00BD6GN030
https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/995349/Virgin_public_letter__.pdf
UK21-167
Danske Bank
Danske Bank
Danske Bank
0
2021
20210330
financial offences
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The CMA informed Danske Bank that it believed the company was in breach of the 2002 undertaking not to bundle business current accounts and loans as they restricted customer choice, but would take no formal action if the company adhered to an Action Plan to cure the breach.
agency action
UK-CMA
Competition and Markets Authority
Denmark
publicly traded
financial services
banking
DK0010274414
https://www.gov.uk/government/publications/cma-letter-to-danske-bank-on-a-breach-of-the-sme-banking-undertakings
UK21-172
Cardif Pinnacle
BNP Paribas
BNP Paribas
0
2021
20210225
consumer-protection-related offences
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The CMA informed Cardif Pinnacle that it considered the two issues the company self-reported concerning errors in the Annual Review of customers' payment protection insurance to be breaches of a previous Order, but would take no formal enforcement action while the company had taken actions to address the breaches.
agency action
UK-CMA
Competition and Markets Authority
France
publicly traded
financial services
banking
FR0000131104
https://www.gov.uk/government/publications/cma-letter-to-cardif-pinnacle-about-2-breaches-of-the-ppi-order
UK21-174
Clydesdale Bank plc
Virgin Money UK PLC
Virgin Money UK PLC
0
2021
20210205
financial offences
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The CMA informed Clydesdale Bank that it believed the company was in breach of the 2002 undertaking not to bundle business current accounts and loans as they restricted customer choice, but would take no formal action if the company adhered to an Action Plan to cure the breach.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB00BD6GN030
https://www.gov.uk/government/publications/cma-letter-to-clydesdale-bank-plc-on-a-breach-of-the-sme-banking-undertakings
UK21-176
Lloyds Banking Group plc
Lloyds Banking Group
Lloyds Banking Group
957000
2021
20210203
consumer-protection-related offences
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The CMA informed Lloyds Bank that it was disappointed its formal Directions to audit compliance procedures at the bank uncovered 18 breaches of the 2011 Payment Protection Insurance Market Order, with another 3 breaches found later. Formal enforcement action was deferred because Lloyds refunded a total of £957,000 for these breaches to customers who had been sent incorrect information in their annual reminders about mortgage PPI.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.gov.uk/government/news/cma-locks-in-a-total-of-975-000-for-lloyds-ppi-customers
UK21-177
AIB Group (UK) plc
Allied Irish Banks
Allied Irish Banks
0
2020
20201005
financial offences
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The CMA informed AIB that it believed the company was in breach of the 2002 undertaking not to bundle business current accounts and loans as they restricted customer choice, but would take no formal action if the company adhered to an Action Plan to cure the breach.
agency action
UK-CMA
Competition and Markets Authority
Ireland
government-owned
financial services
banking
https://www.gov.uk/government/publications/cma-letter-to-aib-ni-on-a-breach-of-directions-given-under-the-sme-banking-undertakings
UK21-192
Lloyds Banking Group plc
Lloyds Banking Group
Lloyds Banking Group
0
2020
20200908
financial offences
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The CMA informed Lloyds Bank that it believed the company was in breach of the 2002 undertaking not to bundle business current accounts and loans as they restricted customer choice, but would take no formal action if the company adhered to an Action Plan to cure the breach.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.gov.uk/government/publications/cma-letter-to-lloyds-on-a-breach-of-the-sme-banking-undertakings
UK21-194
Cardif Pinnacle
BNP Paribas
BNP Paribas
0
2020
20200708
consumer-protection-related offences
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The CMA issued legally binding directions to Cardif Pinnacle ordering its to appoint an independent body to audit its payment protection insurance, following the sending of over 14,800 inaccurate PPI annual reminders since 2012.
agency action
UK-CMA
Competition and Markets Authority
France
publicly traded
financial services
banking
FR0000131104
https://www.gov.uk/government/news/cma-orders-insurance-provider-to-fix-ppi-breaches
UK21-203
Nationwide Building Society
Nationwide Building Society
Nationwide Building Society
0
2020
20200708
consumer-protection-related offences
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The CMA informed Nationwide that it was disappointed an audit of compliance procedures at the bank uncovered another breach of the 2011 Payment Protection Insurance Market Order, where Annual Reviews of PPI were not sent to customers to enable them to compare its cost against other providers and remind them of their entitlement to cancel.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
mutual
financial services
building society
https://www.gov.uk/government/publications/cma-letter-to-nationwide-about-a-breach-of-the-ppi-order
UK21-204
Royal Bank of Scotland Group
NatWest Group PLC
NatWest Group PLC
2200000
2020
20200528
financial offences
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The CMA informed RBSG that it had breached the Retail Banking Market Investigation Order 2017 by failing to activate text alerts for unarranged overdrafts on certain accounts, and so failed to send approximately 36,000 alerts. RBSG committed to provide remediation to customers estimated at £2.2 million.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://www.gov.uk/government/publications/cma-letter-to-rbsg-on-2-breaches-of-the-retail-banking-order
UK21-210
Metro Bank plc
Metro Bank PLC
Metro Bank PLC
11400000
2020
20200420
financial offences
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Metro Bank was found to have broken the CMA's Retail Banking Market Investigation Order by failing to send text alerts before charging customers for unarranged overdrafts. It committed to refunds for those customers estimated to total £11.4 million.
agency action
CMA deferred formal enforcement action if company continued curing alleged breach.
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB00BZ6STL67
https://www.gov.uk/government/news/metro-bank-customers-receive-10-5m-overdraft-fee-refund
UK21-212
Nationwide Building Society
Nationwide Building Society
Nationwide Building Society
900000
2020
20200206
financial offences
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The CMA informed Nationwide that it had broken the Retail Banking Market Investigation Order by failing to send text alerts to customers about to enter unarranged overdrafts that warned them they would be charged. The company was refunding all fees incurred by customers, estimated at £900,000.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
mutual
financial services
building society
https://www.gov.uk/government/news/cma-secures-900-000-in-refunds-for-nationwide-customers
UK21-219
Santander UK plc
Banco Santander
Banco Santander
19000000
2019
20191129
financial offences
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Santander was found to have broken the CMA's Retail Banking Market Investigation Order by failing to send text alerts before charging customers for unarranged overdrafts. It committed to refunds for those customers (£17m estimated refunds noted in linked press release from 2020) and also notified that the total refunds given to customers for a previous breach of the order totalled approximately £2 million.
agency action
CMA deferred formal enforcement action if company continued curing alleged breach.
UK-CMA
Competition and Markets Authority
Spain
publicly traded
financial services
banking
ES0113900J37
https://www.gov.uk/government/news/47m-in-overdraft-refunds-to-bank-customers-after-cma-action
UK21-227
HSBC Bank plc
HSBC
HSBC
8000000
2019
20191129
financial offences
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HSBC was found to have broken the CMA's Retail Banking Market Investigation Order by failing to send text alerts before charging customers for unarranged overdrafts. It committed to refunds for those customers estimated to total £8 million.
agency action
CMA deferred formal enforcement action if company continued curing alleged breach.
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0005405286
https://www.gov.uk/government/news/hsbc-and-santander-to-refund-customers-after-cma-action
UK21-228
Nationwide Building Society
Nationwide Building Society
Nationwide Building Society
2000000
2019
20191018
consumer-protection-related offences
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The CMA issued legally binding directions to Nationwide to put in place procedures to ensure accurate payment protection insurance reminders were sent, after finding no or inaccurate annual reminders were sent to customers with PPI. The company was refunding customers with total repayments of up to £2 million expected.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
mutual
financial services
building society
https://www.gov.uk/government/news/nationwide-to-pay-up-to-2m-in-refunds-for-ppi-breaches
UK21-232
PayPal Holdings, Inc. and PayPal (Europe) Sarl et Cie SCA and PayPal SE
PayPal Holdings
PayPal Holdings
250000
2019
20190924
financial offences
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Paypal was fined £250,000 for violating a derogation allowing it to start integration with part of the acquired iZettle AB before completion of a CMA merger investigation as long as the integration did not affect business in the UK. PayPal was alleged to have started a pilot scheme cross-selling iZettle card readers to Paypal customers in the UK.
agency action
UK-CMA
Competition and Markets Authority
United States
publicly traded
financial services
online payments
US70450Y1038
https://www.gov.uk/cma-cases/paypal-holdings-inc-izettle-ab-merger-inquiry
UK21-233
Royal Bank of Scotland Group
NatWest Group PLC
NatWest Group PLC
1500000
2019
20190823
consumer-protection-related offences
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The CMA issued legally binding directions to RBSG to put in place procedures to ensure accurate payment protection insurance reminders were sent, after finding no annual reminders were sent to some customers with PPI. The company was refunding customers with £1.5 million returned so far.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://www.gov.uk/government/news/cma-orders-rbs-and-santander-to-fix-ppi-breaches
UK21-234
Nationwide Building Society
Nationwide Building Society
Nationwide Building Society
6000000
2019
20190808
financial offences
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The CMA informed Nationwide that it had broken the Retail Banking Market Investigation Order by failing to send text alerts to customers about to enter unarranged overdrafts that warned them they would be charged. The company was refunding all fees incurred by customers, estimated at £6 million.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
mutual
financial services
building society
https://www.gov.uk/government/news/nationwide-refunds-6m-to-customers-following-cma-action
UK21-236
Barclays Bank UK plc and Barclays Bank plc
Barclays
Barclays
1910
2019
20190704
financial offences
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The CMA issued legally binding directions to Barclays to cease breaching undertakings agreed to in 2002 by requiring businesses to hold current accounts at Barclays before they were able to access other products. Barclays paid nearly £2,000 compensation to account holders for unnecessary charges.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.gov.uk/government/news/cma-directs-barclays-to-fix-banned-banking-practices
UK21-238
Lloyds Banking Group
Lloyds Banking Group
Lloyds Banking Group
0
2018
20181004
consumer-protection-related offences
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The CMA issued legally binding directions to Lloyds Bank to put in place procedures to ensure accurate payment protection insurance reminders were sent, after finding no or incorrect annual reminders were sent to customers with PPI.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.gov.uk/government/news/lloyds-issued-with-legal-directions-for-ppi-breaches
UK21-265
Barclays Bank UK plc
Barclays
Barclays
0
2018
20180806
consumer-protection-related offences
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The CMA issued legally binding directions to Barclays to put in place procedures to ensure accurate payment protection insurance reminders were sent, after finding no annual reminders were sent to some customers with PPI. The company was refunding customers with £336,000 returned so far.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.gov.uk/government/news/barclays-gets-legal-directions-for-ppi-breach
UK21-268
Aviva
Aviva PLC
Aviva PLC
0
2017
20170125
consumer-protection-related offences
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The CMA issued a letter to Aviva stating it considered the company's failure to send accurate annual statements to customers with mortgage payment protection insurance to be a serious breach of the Payment Protection Insurance Market Investigation Order 2011, and taking note of the actions agreed to remedy the breach.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.gov.uk/government/publications/cma-letter-to-aviva-on-ppi-annual-review-statements
UK21-310
Lloyds Banking Group
Lloyds Banking Group
Lloyds Banking Group
0
2017
20170125
consumer-protection-related offences
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The CMA issued a letter to Lloyds Bank stating it considered the company's failure to send accurate annual statements to customers with mortgage payment protection insurance to be a serious breach of the Payment Protection Insurance Market Investigation Order 2011, and taking note of the actions agreed to remedy the breach.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.gov.uk/government/publications/cma-letter-to-lbg-on-its-non-compliance-with-the-ppi-order
UK21-311
Santander UK plc
Banco Santander
Banco Santander
0
2016
20161209
consumer-protection-related offences
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The CMA issued a letter to Santander stating it considered the company's failure to send accurate annual statements to customers with mortgage payment protection insurance to be a serious breach of the Payment Protection Insurance Market Investigation Order 2011, and taking note of the actions agreed to remedy the breach.
agency action
UK-CMA
Competition and Markets Authority
Spain
publicly traded
financial services
banking
ES0113900J37
https://www.gov.uk/government/publications/cma-letter-to-santander-on-ppi-annual-review-statements
UK21-329
Barclays Bank UK plc
Barclays
Barclays
0
2016
20160428
consumer-protection-related offences
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The CMA issued a letter to Barclays stating it considered the company's failure to send accurate annual statements to customers with mortgage payment protection insurance to be a serious breach of the Payment Protection Insurance Market Investigation Order 2011, and taking note of the actions agreed to remedy the breach.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.gov.uk/government/publications/letter-from-the-cma-to-barclays-on-ppi-annual-review-statements
UK21-349
AIB Group (UK) plc dba First Trust Bank
Allied Irish Banks
Allied Irish Banks
0
2014
20141022
financial offences
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The CMA issued legally binding directions to First Trust and HSBC to cease breaching undertakings agreed to in 2002 by requiring businesses to hold current accounts at the banks before they were able to access other products.
agency action
UK-CMA
Competition and Markets Authority
Ireland
government-owned
financial services
banking
https://www.gov.uk/government/news/cma-issues-2-banks-with-directions-on-sme-bundling-undertakings
UK21-373
HSBC Bank plc
HSBC
HSBC
0
2014
20141022
financial offences
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The CMA issued legally binding directions to First Trust and HSBC to cease breaching undertakings agreed to in 2002 by requiring businesses to hold current accounts at the banks before they were able to access other products.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0005405286
https://www.gov.uk/government/news/cma-issues-2-banks-with-directions-on-sme-bundling-undertakings
UK21-374
Connells Residential dba Connells Estate Agents
Skipton Building Society
Skipton Building Society
Leighton Buzzard
England
2049
2016
20160205
employment-related offences
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The fine for not paying minimum wage is not reported, penalty shown is the wage arrears paid, £2,049.14 to 1 employee.
agency action
UK-BEIS
Department for Business, Energy & Industrial Strategy
United Kingdom
mutual
financial services
financial and real estate services
https://www.gov.uk/government/news/new-national-minimum-wage-offenders-named-and-shamed-february-2016
UK21-1996
DL Insurance Services Limited
Direct Line Insurance Group PLC
Direct Line Insurance Group PLC
England and Wales
11216
2020
20200723
employment-related offences
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Sex Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
insurance
GB00BY9D0Y18
https://assets.publishing.service.gov.uk/media/5c4efebf40f0b62539367669/Mr_C_Davies_v_DL_Insurance_Services_Plc_-_2401583_2017_-_Judgment.pdf
UK21-2517
HBOS Plc
Lloyds Banking Group
Lloyds Banking Group
England and Wales
10828
2020
20200304
employment-related offences
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Disability Discrimination
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://assets.publishing.service.gov.uk/media/5e7b6b1cd3bf7f1343ebff3d/Ms_R__Duggal__vs__HBOS_Plc_-_Judgment.pdf
UK21-3343
AXA PPP HEALTHCARE GROUP LTD
AXA
AXA
England and Wales
4128
2020
20200219
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Breach of Contract, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
France
publicly traded
financial services
insurance
FR0000120628
https://assets.publishing.service.gov.uk/media/5e5e82cf86650c51421c8358/Mr_T_Giampagilia__vs_AXA_PPP_Healthcare_Group_Ltd_-_Judgment.pdf
UK21-3554
Santander UK Plc
Banco Santander
Banco Santander
England and Wales
19702
2020
20200214
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Breach of Contract, Maternity and Pregnancy Rights, Sex Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
Spain
publicly traded
financial services
banking
ES0113900J37
https://assets.publishing.service.gov.uk/media/5e69155bd3bf7f2692fa8d6d/Mrs_C_Agbaje_-v-_Santander_UK_Plc_-_3325931-2017_-_Judgment_on_Remedy.pdf
UK21-3603
Barclays Bank UK plc
Barclays
Barclays
England and Wales
15010
2020
20200210
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Breach of Contract, Time Limits, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://assets.publishing.service.gov.uk/media/5ed115dde90e0754cef003b1/Mr_C_Kerins_-v-_Barclays_Bank_UK_Plc__-_Case_No._3200334_2019_-_Reconsideration_Judgment.pdf
UK21-3696
Southern Water Services Ltd
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England and Wales
1303
2020
20200120
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Breach of Contract, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://assets.publishing.service.gov.uk/media/5d91fc7040f0b65e5dbe04de/Mr_S_Slark_-v-_Southern_Water_Services_Ltd__1401027.19.pdf
UK21-3996
MBNA Limited
Lloyds Banking Group
Lloyds Banking Group
England and Wales
20968
2020
20200113
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://assets.publishing.service.gov.uk/media/5e31481ae5274a08e81217af/Ms_L_Fletcher_v_MBNA_Limited_-_2417251_2018.pdf
UK21-4080
EUI Ltd
Admiral Group
Admiral Group
England and Wales
40000
2019
20191218
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Breach of Contract, Unfair Dismissal, Unlawful Deduction from Wages
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
insurance
GB00B02J6398
https://assets.publishing.service.gov.uk/media/5e15c23640f0b65dc4e2bfc1/Mr_D_Bosher_v_EUI_Ltd_-_1601207.2017_-_Remedy_Consent_Judgment.pdf
UK21-4299
HBOS Plc
Lloyds Banking Group
Lloyds Banking Group
England and Wales
49457
2019
20190802
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination, Race Discrimination, Redundancy, Unfair Dismissal, Working Time Regulations
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://assets.publishing.service.gov.uk/media/5d4abc66e5274a53fc51930c/Mr_B_Kuppala_v_HBOS_Plc_-___Remedy_Judgment__final.pdf
UK21-5883
Lloyds Bank Plc
Lloyds Banking Group
Lloyds Banking Group
England and Wales
7500
2019
20190712
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://assets.publishing.service.gov.uk/media/5c7d3a7bed915d4065f2075a/Mrs_S_Hill_v_Lloyds_Bank_Plc_2302030-2018_Amended_Reserved_Judgment_.pdf
UK21-6120
Barclays Bank Plc
Barclays
Barclays
England and Wales
9155
2019
20190607
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://assets.publishing.service.gov.uk/media/5e426bbe40f0b60912e21faf/Karen_Lewis_-V-_Barclays_Bank_Plc_-_1600192.2018_-__Judgment.pdf
UK21-6609
The Co-Operative Bank PLC
Co-operative Bank
Co-operative Bank
England and Wales
4775
2019
20190605
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Unfair Dismissal, Working Time Regulations
agency action
UK-ET
Employment Tribunal
United Kingdom
privately held
financial services
banking
https://assets.publishing.service.gov.uk/media/5d09ee85e5274a069552c16d/Mr_S_O_Boyle_v_The_Co-Operative_Bank_PLC_-_2411856_2018.pdf
UK21-6645
Lloyds Bank PLC
Lloyds Banking Group
Lloyds Banking Group
England and Wales
711
2019
20190210
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Breach of Contract, Unfair Dismissal, Unlawful Deduction from Wages
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://assets.publishing.service.gov.uk/media/5c66a6fbed915d4a3506ad37/Mr_K_Robinson_v_Lloyds_Bank_Plc_2414996-2018_Judgment.pdf
UK21-8199
Newday Cards Limited
NewDay Limited
NewDay Limited
England and Wales
18599
2019
20190207
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination
agency action
UK-ET
Employment Tribunal
United Kingdom
privately held
financial services
consumer lending
https://assets.publishing.service.gov.uk/media/5c6c129f40f0b647b35c4390/Mr_M_Gabbitas_v_Newday_Cards_Ltd_1809985.2018_-Final.pdf
UK21-8215
Royal Bank of Canada
Royal Bank of Canada
Royal Bank of Canada
England and Wales
8100
2019
20190201
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Public Interest Disclosure, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
Canada
publicly traded
financial services
banking
CA7800871021
https://assets.publishing.service.gov.uk/media/5a294d85ed915d458e4214b3/Mr_J_Banerjee_v_Royal_Bank_of_Canada_-_2200415-2017_Reconsideration.pdf
UK21-8266
Tullett Prebon Group
TP ICAP PLC
TP ICAP PLC
England and Wales
69682
2019
20190131
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Public Interest Disclosure, Race Discrimination, Unfair Dismissal, Unlawful Deduction from Wages, Working Time Regulations
agency action
UK-ET
Employment Tribunal
Jersey
publicly traded
financial services
financial market services
GB00B1H0DZ51
https://assets.publishing.service.gov.uk/media/5c5973b9ed915d04148c3104/Mr_KK_Kansal_-v-_Tullett_Prebon_Group_Limited___Others_-_Case_Number_2200875_2014_-_Remedy.pdf
UK21-8280
Barclays Services Ltd
Barclays
Barclays
England and Wales
947585
2019
20190124
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://assets.publishing.service.gov.uk/media/5c6fff8640f0b603dca6ef1e/Mr_D_Fotheringhame_v_Barclays_Services_Ltd_-_3200194_2018_-_Judgment.pdf
UK21-8385
AXA Investment Managers Ltd
AXA
AXA
England and Wales
8000
2019
20190111
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination, Maternity and Pregnancy Rights, Sex Discrimination, Unlawful Deduction from Wages
agency action
UK-ET
Employment Tribunal
France
publicly traded
financial services
insurance
FR0000120628
https://assets.publishing.service.gov.uk/media/5c3dbeeee5274a70e28e5801/Mrs_M_Ward_-v-_AXA_Investment_Managers_Ltd_-_Case_Number_2206556_2016___Others_-_Full.pdf
UK21-8513
The Royal Bank of Scotland PLC
NatWest Group PLC
NatWest Group PLC
England and Wales
6509
2018
20181114
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://assets.publishing.service.gov.uk/media/5c010f24e5274a0fb45eedc2/Mr_N_Rimell_v_The_Royal_Bank_of_Scotland_PLC_1401531.17.pdf
UK21-9028
Greater Manchester Buses (South) Limited
Deutsche Bank
Stagecoach Group PLC
DWS Infrastructure, owned by Deutsche Bank, acquired Stagecoach in 2022
England and Wales
40354
2018
20181024
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Breach of Contract, Disability Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
Germany
publicly traded
financial services
banking & securities
DE0005140008
https://assets.publishing.service.gov.uk/media/5be2ccc140f0b667aac92813/Mr_J_Andrews_v_Greater_Manchester_Buses_South_Ltd___others_-_2402002_2016_-_Judgment.pdf
UK21-9205
American Express Services Europe Limited
American Express
American Express
England and Wales
3300
2018
20180911
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Breach of Contract
agency action
UK-ET
Employment Tribunal
United States
publicly traded
financial services
financial services
US0258161092
https://assets.publishing.service.gov.uk/media/5b98d97940f0b678692eb5af/Mr_LT_Perera_-v-_American_Express_Services_Europe_Limited_-_Case_2201873_2018_-_Full.pdf
UK21-9584
Stagecoach Devon Ltd t/a Stagecoach South West
Deutsche Bank
Stagecoach Group PLC
DWS Infrastructure, owned by Deutsche Bank, acquired Stagecoach in 2022
England and Wales
5500
2018
20180622
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Unfair Dismissal
agency action
UK-ET
Employment Tribunal
Germany
publicly traded
financial services
banking & securities
DE0005140008
https://assets.publishing.service.gov.uk/media/5b473405e5274a37779450e2/Mr_A_Stephens_v_Stagecoach_Devon_Ltd_ta_Stagecoach_South_West_1400304_2018_full.pdf
UK21-10100
Solus London Ltd
Aviva PLC
Aviva PLC
England and Wales
1000
2018
20180219
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://assets.publishing.service.gov.uk/media/5a8d65b9ed915d1dddcd3b8b/Brennan_3300176-17__J__FINAL.pdf
UK21-10917
Neovia Logistics Services (UK) Limited
Goldman Sachs
Goldman Sachs
England and Wales
30000
2017
20171109
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Sex Discrimination
agency action
UK-ET
Employment Tribunal
United States
publicly traded
financial services
banking & securities
US38141G1040
https://assets.publishing.service.gov.uk/media/5af44caae5274a25de493095/Mrs_L_Richardson_v_Neovia_Logistics_Services_UK_Ltd_and_others_2601005.2016_consent_judgment.pdf
UK21-11537
HSBC Bank Plc
HSBC
HSBC
England and Wales
11803
2017
20170725
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0005405286
https://assets.publishing.service.gov.uk/media/59b16c4ced915d098adf44f1/Mr_O_Farooq_v_HSBC_Bank_Plc_240943715_-_Remedy_Judgment..pdf
UK21-12027
The Royal Bank of Scotland plc
NatWest Group PLC
NatWest Group PLC
England and Wales
20870
2017
20170523
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Breach of Contract, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://assets.publishing.service.gov.uk/media/5926c80f40f0b63e0b0000f8/Mrs_S_Brazil_v_The_Royal_Bank_of_Scotland_plc_3200059.2017_Full.pdf
UK21-12329
Lloyds Bank Plc
Lloyds Banking Group
Lloyds Banking Group
England and Wales
53922
2017
20170428
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://assets.publishing.service.gov.uk/media/595b5d33ed915d0baf0000f0/Mr_A_D_James_v_Lloyds_Bank_Plc_2205964-2016__-_Certificate_of_Correction_and_amended_Judgment.pdf
UK21-12439
Lloyds Banking Group plc
Lloyds Banking Group
Lloyds Banking Group
England and Wales
5043
2017
20170322
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://assets.publishing.service.gov.uk/media/59884a1c40f0b61e4b00007a/Miss_K_Winnard_v_Lloyds_Banking_Group_2300387-2016_Remedy.pdf
UK21-12621
The Royal Bank of Scotland plc
NatWest Group PLC
NatWest Group PLC
England and Wales
3148
2017
20170316
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Breach of Contract, Disability Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://assets.publishing.service.gov.uk/media/58d0074d40f0b62a07000053/Mr_A_Bannis_v_The_Royal_Bank_of_Scotland_plc_1400278_2016_.pdf
UK21-12664
Citibank N.A.
Citigroup
Citigroup
England and Wales
103335
2017
20170221
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Breach of Contract, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United States
publicly traded
financial services
banking & securities
US1729674242
https://assets.publishing.service.gov.uk/media/5b18faf6e5274a18fa9d3948/Mr_B_Ozkaptan_v_Citibank_N.A_32020322015_Remedy.pdf
UK21-12795
HBOS Plc
Lloyds Banking Group
Lloyds Banking Group
Scotland
9114
2017
20170220
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://assets.publishing.service.gov.uk/media/58b6f4ace5274a2a5f0000b5/Mrs_S_McConnachie-Low_v_HBOS_plc_4104218_16.pdf
UK21-12808
Natwest Markets plc
NatWest Group PLC
NatWest Group PLC
England and Wales
3999
2021
20210426
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://assets.publishing.service.gov.uk/media/609a6900d3bf7f2887b642f6/Mr_R_Godfrey__vs_Natwest_Market_plc.pdf
UK21-13098
HSBC UK Bank Ltd
HSBC
HSBC
England and Wales
13802
2021
20210416
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Breach of Contract, Race Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0005405286
https://assets.publishing.service.gov.uk/media/609947468fa8f56a3c1629b4/Ms_A_Nnyombi__vs_HSBC_UK_Bank_Ltd.pdf
UK21-13174
Barclays Bank UK plc
Barclays
Barclays
England and Wales
9692
2021
20210323
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://assets.publishing.service.gov.uk/media/606ec5b1e90e076f49019969/Mr_J_Kane_v_Barclays_Bank_UK_PLC_-_1403210.2019_-_Judgment___Reasons.pdf
UK21-13356
Newday Cards Ltd
NewDay Limited
NewDay Limited
England and Wales
500
2021
20210311
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
privately held
financial services
consumer lending
https://assets.publishing.service.gov.uk/media/606336c0d3bf7f0c907e8faf/Mr_S_Sundaram__vs_Newday_Cards_Ltd.pdf
UK21-13494
The Yorkshire Traction Company Ltd
Deutsche Bank
Stagecoach Group PLC
DWS Infrastructure, owned by Deutsche Bank, acquired Stagecoach in 2022
England and Wales
4492
2021
20210204
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
Germany
publicly traded
financial services
banking & securities
DE0005140008
https://assets.publishing.service.gov.uk/media/601a8fbdd3bf7f70c036dbd3/Miss_E_Bernard_v_The_Yorkshire_Traction_Company_Ltd_ta_Stagecoach_1805467-2019.pdf
UK21-13911
DL Insurance Services Ltd
Direct Line Insurance Group PLC
Direct Line Insurance Group PLC
England and Wales
11649
2020
20201201
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
insurance
GB00BY9D0Y18
https://assets.publishing.service.gov.uk/media/5fcf2a0e8fa8f54d58640c85/Ms_L_Whitelock_-v-_DL_Insurance_Services_Ltd_-_1804842-2019_Reserved_Judgment_and_Reasons.pdf
UK21-14585
AWP Assistance UK Ltd T/a Allianz Partners
Allianz
Allianz
England and Wales
17859
2020
20201127
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Sex Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
Germany
publicly traded
financial services
insurance
DE0008404005
https://assets.publishing.service.gov.uk/media/6046417ad3bf7f1d0e1c2d04/Mrs_SM_Pearson_v_AWP_Assistance_UK_Ltd__T-a_Allianz_Partners__2303053-2019_Reserved_Judgment.pdf
UK21-14616
Citibank N.A
Citigroup
Citigroup
England and Wales
75427
2020
20200914
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Unfair Dismissal, Written Statements
agency action
UK-ET
Employment Tribunal
United States
publicly traded
financial services
banking & securities
US1729674242
https://assets.publishing.service.gov.uk/media/5f64aa948fa8f510677710e4/Mr_R_Ramchandani_-v-_Citibank_NA_-_3200403_2014_-_Judgment....pdf
UK21-15283
Connells Residential
Skipton Building Society
Skipton Building Society
England and Wales
2750
2020
20200819
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
mutual
financial services
financial and real estate services
https://assets.publishing.service.gov.uk/media/5f47a03cd3bf7f5d7f263b7e/Mr_P_Rusin_vs_Connells_Residential-1303868.19_Judgment.pdf
UK21-15482
DL Insurance Services Ltd
Direct Line Insurance Group PLC
Direct Line Insurance Group PLC
England and Wales
36998
2020
20200730
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
insurance
GB00BY9D0Y18
https://assets.publishing.service.gov.uk/media/5f367c07e90e0732dcd6eba9/Mr_O_Ogunfuwa_v_DL_Insurance_Services_Ltd_-_2300690_2018_Full_Judgment_.pdf
UK21-15628
DL Insurance Services plc and others
Direct Line Insurance Group PLC
Direct Line Insurance Group PLC
England and Wales
11216
2020
20200723
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Sex Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
insurance
GB00BY9D0Y18
https://assets.publishing.service.gov.uk/media/5c4efebf40f0b62539367669/Mr_C_Davies_v_DL_Insurance_Services_Plc_-_2401583_2017_-_Judgment.pdf
UK21-15672
Barclays PLC
Barclays
Barclays
England
3000
2020
20201001
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Barclays PLC agreed to an Enforcement Undertaking to register and comply with waste regulations and pay £3,000 to the Marine Conservation Society in settlement of failures to register activities and take reasonable steps to recover and recycle packaging waste.
agency action
Enforcement Undertaking
588
UK-EA
Environment Agency
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://web.archive.org/web/20210602182427/https://www.gov.uk/government/publications/environment-agencys-use-of-civil-sanctions/enforcement-undertakings-accepted-by-the-environment-agency-1-october-2020-to-31-march-2021
UK21-15980
BNP Paribas Real Estate Advisory and Property Management UK Limited
BNP Paribas
BNP Paribas
England
30000
2019
20190619
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
BNP Paribas agreed to an Enforcement Undertaking to stop management, improve procedures, pay costs, and contribute £30,000 to the Wandle Trust in settlement of the offence of abstracting without a licence or other than in accordance with a licence.
agency action
Enforcement Undertaking
544
UK-EA
Environment Agency
France
publicly traded
financial services
banking
FR0000131104
https://web.archive.org/web/20210609144750/https://www.360environmental.co.uk/documents/EU%20list%20-%2020%20Oct%202018%20-%2022%20May%202019.pdf
UK21-16048
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
25000
2019
20190619
environment-related offences
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Southern Water Services agreed to an Enforcement Undertaking to improve procedures, pay costs, and contribute £25,000 to Sussex Wildlife Trust in settlement of the offence of abstracting without a licence or other than in accordance with a licence.
agency action
Enforcement Undertaking
569
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://web.archive.org/web/20210609144750/https://www.360environmental.co.uk/documents/EU%20list%20-%2020%20Oct%202018%20-%2022%20May%202019.pdf
UK21-16049
Morgan Stanley Services (UK) Limited
Morgan Stanley
Morgan Stanley
London
England
743
2017
20171101
environment-related offences
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Civil penalty for failure to comply with regulation 9 of the Greenhouse Gas Emissions Trading Scheme Regulations 2012. The operator carried out a regulated activity at their installation without a permit.
agency action
Climate change regime violation
UK-EA
Environment Agency
United States
publicly traded
financial services
financial services
US6174464486
https://webarchive.nationalarchives.gov.uk/20180106002036/https://www.gov.uk/government/publications/climate-change-regimes-civil-penalties-imposed/eu-ets-civil-penalties-stationary-installations
UK21-16160
Morgan Stanley Services (UK) Limited
Morgan Stanley
Morgan Stanley
London
England
730
2017
20171101
environment-related offences
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Civil penalty for failure to comply with regulation 9 of the Greenhouse Gas Emissions Trading Scheme Regulations 2012. The operator carried out a regulated activity at their installation without a permit.
agency action
Climate change regime violation
UK-EA
Environment Agency
United States
publicly traded
financial services
financial services
US6174464486
https://webarchive.nationalarchives.gov.uk/20180106002036/https://www.gov.uk/government/publications/climate-change-regimes-civil-penalties-imposed/eu-ets-civil-penalties-stationary-installations
UK21-16162
Morgan Stanley Services (UK) Limited
Morgan Stanley
Morgan Stanley
London
England
712
2017
20171101
environment-related offences
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Civil penalty for failure to comply with regulation 9 of the Greenhouse Gas Emissions Trading Scheme Regulations 2012. The operator carried out a regulated activity at their installation without a permit.
agency action
Climate change regime violation
UK-EA
Environment Agency
United States
publicly traded
financial services
financial services
US6174464486
https://webarchive.nationalarchives.gov.uk/20180106002036/https://www.gov.uk/government/publications/climate-change-regimes-civil-penalties-imposed/eu-ets-civil-penalties-stationary-installations
UK21-16163
Morgan Stanley Services (UK) Limited
Morgan Stanley
Morgan Stanley
London
England
647
2017
20171101
environment-related offences
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Civil penalty for failure to comply with regulation 9 of the Greenhouse Gas Emissions Trading Scheme Regulations 2012. The operator carried out a regulated activity at their installation without a permit.
agency action
Climate change regime violation
UK-EA
Environment Agency
United States
publicly traded
financial services
financial services
US6174464486
https://webarchive.nationalarchives.gov.uk/20180106002036/https://www.gov.uk/government/publications/climate-change-regimes-civil-penalties-imposed/eu-ets-civil-penalties-stationary-installations
UK21-16164
Bank of America
Bank of America
Bank of America
London
England
1033
2016
20160801
environment-related offences
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Civil penalty for failure to comply with regulation 9 of the Greenhouse Gas Emissions Trading Scheme Regulations 2012. The operator carried out a regulated activity at their installation without a permit.
agency action
Climate change regime violation
UK-EA
Environment Agency
United States
publicly traded
financial services
banking
US0605051046
https://webarchive.nationalarchives.gov.uk/20170425172819/https://www.gov.uk/government/publications/climate-change-regimes-civil-penalties-imposed/eu-ets-civil-penalties-stationary-installations
UK21-16307
Bank of America
Bank of America
Bank of America
England
583
2016
20160801
environment-related offences
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Civil penalty for failure to comply with regulation 9 of the Greenhouse Gas Emissions Trading Scheme Regulations 2012. The operator carried out a regulated activity at their installation without a permit.
agency action
Climate change regime violation
UK-EA
Environment Agency
United States
publicly traded
financial services
banking
US0605051046
https://webarchive.nationalarchives.gov.uk/20170425172819/https://www.gov.uk/government/publications/climate-change-regimes-civil-penalties-imposed/eu-ets-civil-penalties-stationary-installations
UK21-16316
American International Group
American International Group
American International Group
England
24076
2016
20160101
environment-related offences
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Civil penalty for failure to surrender sufficient allowances. The operator didn't surrender sufficient allowances to cover its annual reportable emissions by 30 April 2013.
agency action
Climate change regime violation
UK-EA
Environment Agency
United States
publicly traded
financial services
insurance
US0268747849
https://webarchive.nationalarchives.gov.uk/20161217165422/https://www.gov.uk/government/publications/climate-change-regimes-civil-penalties-imposed/eu-ets-civil-penalties-aviation
UK21-16363
Lloyds Bank General Insurance Limited
Lloyds Banking Group
Lloyds Banking Group
90688400
2021
20210708
consumer-protection-related offences
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The FCA fined LBGI (Lloyds Bank General Insurance Limited, St Andrew's Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited) £90,688,400 for failing to ensure that language contained within millions of home insurance renewals communications was clear, fair and not misleading.
agency action
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.fca.org.uk/news/press-releases/fca-fines-lbgi-90-million-failures-communications-home-insurance-renewals-2009-2017
UK21-16688
Charles Schwab UK Ltd.
Charles Schwab Corp.
Charles Schwab Corp.
8963200
2020
20201221
financial offences
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Charles Schwab paid a fine of £8.96 million in settlement of a decision by the FCA that the company failed to arrange adequate protection for client assets under UK rules when moving money between UK and US affiliates, and had inaccurately informed the FCA that it had adequate systems and controls in place to protect client assets. No client assets were lost.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United States
publicly traded
financial services
financial services
US8085131055
https://www.fca.org.uk/news/press-releases/fca-fines-charles-schwab-uk-over-safeguarding-and-compliance-failures
UK21-16695
Barclays Bank UK PLC and Barclays Bank PLC and Clydesdale Financial Services Ltd.
Barclays
Barclays
26056400
2020
20201215
consumer-protection-related offences
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Barclays paid a £26 million fine in settlement of a finding by the FCA that the company breached consumer credit regulations by failing to show forbearance and due consideration to business and retail loan customers in arrears or financial difficulties, affecting at least 1.5 million customers over several years.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.fca.org.uk/news/press-releases/fca-fines-barclays-treatment-customers-financial-difficulty
UK21-16696
Goldman Sachs International
Goldman Sachs
Goldman Sachs
48308400
2020
20201021
financial offences
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Goldman Sachs paid a total of £96.6 million in fines to the FCA and PRA in settlement of a finding the company failed to properly assess risks and manage allegations of bribery and misconduct when it arranged three bond transactions with 1MDB, a fund that collapsed with alleged fraud. The fines were part of a $2.9 billion globally coordinated resolution.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United States
publicly traded
financial services
banking & securities
US38141G1040
https://www.fca.org.uk/news/press-releases/fca-pra-fine-goldman-sachs-international-risk-management-failures-1mdb
UK21-16699
Commerzbank AG
Commerzbank
Commerzbank
37805400
2020
20200617
financial offences
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Commerzbank paid a £37 million fine in settlement of a finding by the FCA that the company failed to have adequate anti-money laundering systems and controls in place from 2012 to 2017.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
Germany
publicly traded
financial services
banking
DE000CBK1001
https://www.fca.org.uk/news/press-releases/fca-fines-commerzbank-london-37805400-over-anti-money-laundering-failures
UK21-16701
Lloyds Bank plc and Bank of Scotland plc and The Mortgage Business plc
Lloyds Banking Group
Lloyds Banking Group
64046800
2020
20200611
financial offences
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Lloyds Bank and subsidiaries paid £64 million fines in settlement of findings by the FCA that they did not fairly handle mortgage customers in payment difficulties or arrears.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.fca.org.uk/news/press-releases/fca-fines-lloyds-bank-bank-scotland-mortgage-business-failures-mortgage-arrears
UK21-16702
Moneybarn Ltd
Vanquis Banking Group
Vanquis Banking Group
In 2023 Provident Financial changed its name to Vanquis Banking Group.
2774400
2020
20200217
consumer-protection-related offences
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Moneybarn paid a £2.77 million fine in settlement of a finding by the FCA that the company failed to treat customers fairly when behind with loan repayments and failed to clearly communicate the consequences of repayment plans.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
sub-prime lending
GB00B1Z4ST84
https://www.fca.org.uk/news/press-releases/fca-fines-moneybarn-277m-unfair-treatment-customers-arrears
UK21-16703
Henderson Investment Funds Ltd.
Janus Henderson
Janus Henderson
1867900
2019
20191118
financial offences
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Henderson paid a £1.86 million fine in settlement of the FCA finding the company failed to inform retail investors of a reduction in active management of two of its funds, treating them unfairly in comparison to institutional investors who were informed and had fees dropped.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
investment management
JE00BYPZJM29
https://www.fca.org.uk/news/press-releases/fca-fines-henderson-fund-failings
UK21-16706
Tullett Prebon (Europe) Limited
TP ICAP PLC
TP ICAP PLC
15400000
2019
20191011
financial offences
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Tullet Prebon paid a £15.4 million fine in settlement of the FCA finding that the company failed to have adequate systems and controls to prevent improper broker conduct and failed to act with due diligence to signs of improper broker conduct, resulting in a significant amount of unwarranted brokerage, and also that the company failed to be open and cooperative with the FCA.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
Jersey
publicly traded
financial services
financial market services
GB00B1H0DZ51
https://www.fca.org.uk/news/press-releases/fca-fines-tullett-prebon-154-million
UK21-16707
The Prudential Assurance Company Limited
M&G PLC
M&G PLC
23875000
2019
20190930
financial offences
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Prudential paid a £34 million fine (minus a 30% discount) in settlement of the FCA finding that the company failed to ensure fair and appropriate information was given to customers buying annuities.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
asset management
GB00BKFB1C65
https://www.fca.org.uk/news/press-releases/fca-fines-prudential-failures-relating-non-advised-annuities-sales
UK21-16708
Standard Life Assurance Limited
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
30792500
2019
20190723
financial offences
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Standard Life paid a £30.79 million fine in settlement of a finding by the FCA that the company failed to ensure fair and appropriate information was given to customers buying annuities.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.fca.org.uk/news/press-releases/fca-fines-standard-life-assurance-limited-30-million
UK21-16709
Bank of Scotland
Lloyds Banking Group
Lloyds Banking Group
45500000
2019
20190620
financial offences
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Bank of Scotland paid a £45.5 million fine in settlement of an FCA finding that the company failed to report suspicious conduct by persons associated with the company who were later prosecuted for fraud.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.fca.org.uk/news/press-releases/fca-fines-bank-scotland-failing-report-suspicions-fraud
UK21-16711
Standard Chartered Bank
Standard Chartered
Standard Chartered
102163200
2019
20190409
financial offences
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Standard Chartered paid a fine of £102 million in settlement of a finding by the FCA that the company failed to establish and maintain anti-money laundering procedures, leading to the bank being at risk of breaching sanctions and laundering the proceeds of crime. US authorities took action against Standard Charter for alleged sanctions violations in a related investigation.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0004082847
https://www.fca.org.uk/news/press-releases/fca-fines-standard-chartered-bank-102-2-million-poor-aml-controls
UK21-16714
Goldman Sachs International
Goldman Sachs
Goldman Sachs
34344700
2019
20190327
financial offences
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Goldman Sachs paid a £34.3 million fine in settlement of a finding by the FCA that the company failed to have reasonable systems in place to follow transaction reporting requirements, thus failing to report approximately 15% of its transactions during the relevant period.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United States
publicly traded
financial services
banking & securities
US38141G1040
https://www.fca.org.uk/news/press-releases/fca-fines-goldman-sachs-international-transaction-reporting-failures
UK21-16715
UBS AG
UBS
UBS
27599400
2019
20190318
financial offences
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UBS paid a £27.6 million fine in settlement of a finding by the FCA that the company failed to have reasonable systems in place to follow transaction reporting requirements thus failing to submit approximately 3.65 million transaction reports and failing to accurately report approximately 83 million transactions.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
Switzerland
publicly traded
financial services
banking & securities
CH0244767585
https://www.fca.org.uk/news/press-releases/fca-fines-ubs-ag-276-million-transaction-reporting-failures
UK21-16716
Santander UK plc
Banco Santander
Banco Santander
32817800
2018
20181219
financial offences
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Santander paid a £32.8 million fine in settlement of a finding by the FCA that the company failed to have suitable probate and bereavement processes resulting in funds in deceased customers' accounts taking an excessive time to identify or transfer.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
Spain
publicly traded
financial services
banking
ES0113900J37
https://www.fca.org.uk/news/press-releases/santander-uk-plc-fined-serious-failings-its-probate-and-bereavement-process
UK21-16720
Liberty Mutual Insurance Europe SE
Liberty Mutual Insurance
Liberty Mutual Insurance
5280800
2018
20181020
consumer-protection-related offences
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Liberty paid a £5.2 million fine in settlement of a finding by the FCA that the company did not establish proper oversight of the third party handling administrative functions for mobile phone insurance on Liberty's behalf, allowing unfair treatment of customer claims and complaints.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United States
mutual
financial services
insurance
https://www.fca.org.uk/news/press-releases/liberty-mutual-insurance-europe-se-fined
UK21-16721
Vanquis Bank Limited
Vanquis Banking Group
Vanquis Banking Group
In 2023 Provident Financial changed its name to Vanquis Banking Group.
13852000
2018
20180227
consumer-protection-related offences
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Vanquis paid a £1,976,000 fine and £11,876,000 restitution in settlement of a finding by the FCA that the company mis-sold a credit card payment protection plan by providing inadequate information to customers. The company voluntarily agreed to pay an additional estimated £158,905,000 restitution.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
sub-prime lending
GB00B1Z4ST84
https://www.fca.org.uk/news/press-releases/fca-fines-vanquis-1976000-and-orders-vanquis-pay-compensation-customers
Including the £11,876,000 restitution in penalty amount because it is ordered in the Final Notice.
UK21-16725
Interactive Brokers (UK)
Interactive Brokers Group
Interactive Brokers Group
1049412
2018
20180125
financial offences
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IBUK was fined £1,049,412 in a finding by the FCA that the company failed to have adequate systems and controls to detect suspicious transactions.
agency action
UK-FCA
Financial Conduct Authority
United States
publicly traded
financial services
stock brokerage
US45841N1072
https://www.fca.org.uk/news/press-releases/fca-fines-interactive-brokers-uk-limited
UK21-16726
Merrill Lynch International
Bank of America
Bank of America
34524000
2017
20171018
financial offences
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Merrill Lynch paid a £34.5 million fine in settlement of a finding by the FCA that the company failed to report 68.5 million transactions in exchange traded derivatives because it had insufficient oversight and resources allocated.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United States
publicly traded
financial services
banking
US0605051046
https://www.fca.org.uk/news/press-releases/fca-fines-merrill-lynch-failing-report-transactions
UK21-16729
Deutsche Bank AG
Deutsche Bank
Deutsche Bank
163076224
2017
20170130
financial offences
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Deutsche Bank paid a £154 million fine and made a £9 million disgorgement in settlement of a finding by the FCA that the company and an inadequate anti-money laundering control framework and had allowed a large amount of trades between its Moscow and London branches that should have been investigated as highly suggestive of financial crime.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
Germany
publicly traded
financial services
banking & securities
DE0005140008
https://www.fca.org.uk/news/press-releases/fca-fines-deutsche-bank-163-million-anti-money-laundering-controls-failure
UK21-16731
Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited
Aviva PLC
Aviva PLC
8246800
2016
20161005
financial offences
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Aviva paid a £8.2 million fine in settlement of a finding by the FCA that the companies breached rules requiring protection of client assets when they outsourced administration without proper oversight and control to ensure the third party followed Client Assets Sourcebook rules.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.fca.org.uk/news/press-releases/fca-fines-aviva-pension-trustees-uk-limited-and-aviva-wrap-uk-limited-8-2m
UK21-16733
Barclays Bank plc
Barclays
Barclays
72069400
2015
20151125
financial offences
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Barclays paid a £19,769,400 fine and made a £52,300,000 disgorgement in settlement of a finding by the FCA that the company did exercise due skill, care and diligence in managing the risk of financial crime when it decided that clients with large deposits and confidentiality demands required it to address the financial crime risks in an ad hoc way instead of through normal departments.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.fca.org.uk/news/press-releases/fca-fines-barclays-%C2%A372-million-poor-handling-financial-crime-risks
UK21-16741
Lloyds Bank plc and Bank of Scotland plc and Black Horse Limited
Lloyds Banking Group
Lloyds Banking Group
117430600
2015
20150604
consumer-protection-related offences
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Lloyds Bank and subsidiaries paid £117 million fines in settlement of a finding by the FCA that they did not fairly handle customers complaints about the mis-selling of Payment Protection Insurance by not providing full information to complaint handlers and allowing a default assumption that the company had not mis-sold PPI.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.fca.org.uk/news/press-releases/lloyds-banking-group-fined-%C2%A3117m-failing-handle-ppi-complaints-fairly
UK21-16747
Barclays Bank plc
Barclays
Barclays
284432000
2015
20150520
competition-related offences
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Barclays paid a £284 million fine in settlement of a finding by the FCA that the company failed to have adequate systems and controls over its foreign exchange business, allowing traders to engage in market abuse that put the firm's interests ahead of its clients, with inappropriately shared information and manipulation of spot FX currency rates.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.fca.org.uk/news/press-releases/fca-fines-barclays-%C2%A3284432000-forex-failings
UK21-16748
Deutsche Bank AG
Deutsche Bank
Deutsche Bank
226800000
2015
20150423
competition-related offences
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Deutsche Bank paid a £226 million fine in settlement of a finding by the FCA that the company attempted manipulation of IBOR rates and was unacceptably misleading, slow and ineffective in responding to the Authority's enquiries.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
Germany
publicly traded
financial services
banking & securities
DE0005140008
https://www.fca.org.uk/news/press-releases/deutsche-bank-fined-%C2%A3227-million-financial-conduct-authority-libor-and-euribor
UK21-16749
Merrill Lynch International
Bank of America
Bank of America
13285900
2015
20150422
financial offences
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Merrill Lynch paid a £13.2 million fine in settlement of a finding by the FCA that the company incorrectly reported and failed to report transactions between 2007 and 2014.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United States
publicly traded
financial services
banking
US0605051046
https://www.fca.org.uk/news/press-releases/fca-fines-merrill-lynch-international-%C2%A3132-million-transaction-reporting
UK21-16750
The Bank of New York Mellon International Limited et al.
Bank of New York Mellon
Bank of New York Mellon
126000000
2015
20150414
financial offences
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The Bank of New York Mellon London branch and The Bank of New York Mellon International Limited paid a £126 million fine in settlement of a finding by the FCA that the companies failed to comply with custody rules to ensure they had adequate controls and records to protect client assets.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United States
publicly traded
financial services
banking
US0640581007
https://www.fca.org.uk/news/press-releases/fca-fines-bank-new-york-mellon-london-branch-and-bank-new-york-mellon
UK21-16752
Clydesdale Bank PLC
Virgin Money UK PLC
National Australia Bank
National Australia Bank listed CYBG plc in 2016, with Clydesdale Bank as a subsidiary. CYBG acquired Virgin Money in 2018 and changed its name to Virgin Money UK plc.
20678300
2015
20150414
consumer-protection-related offences
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Clydesdale Bank paid a £20.6 million fine in settlement of a finding by the FCA that the company did not fairly handle customers complaints about the mis-selling of Payment Protection Insurance by not handling complaints fully and providing false information to the Financial Ombudsman.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB00BD6GN030
https://www.fca.org.uk/news/press-releases/clydesdale-bank-fined-%C2%A320678300-serious-failings-ppi-complaint-handling
UK21-16753
Aviva Investors Global Services Limited
Aviva PLC
Aviva PLC
17607000
2015
20150224
financial offences
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Aviva Investors paid a £17.6 million fine in settlement of a finding by the FCA that the company failed to control conflicts of interest on certain trading desks, allowing favourable intraday price movements of trades to be assigned to particular funds at the end of the day, an abuse practice known as cherry picking.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.fca.org.uk/news/press-releases/fca-fines-aviva-investors-%C2%A3176m-systems-and-controls-failings-led-its-failure
UK21-16755
UBS AG
UBS
UBS
233814000
2014
20141211
competition-related offences
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Citibank N.A., HSBC Bank Plc, JPMorgan Chase Bank N.A., The Royal Bank of Scotland Plc and UBS AG were fined a total of £1.1 billion in settlements with the FCA of findings that they failed to have adequate systems and controls over their foreign exchange businesses, allowing traders to engage in market abuse that put the firms' interests ahead of their clients, with inappropriately shared information and manipulation of spot FX currency rates.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
Switzerland
publicly traded
financial services
banking & securities
CH0244767585
https://www.fca.org.uk/news/press-releases/fca-fines-five-banks-%C2%A311-billion-fx-failings-and-announces-industry-wide-remediation-programme
UK21-16758
Citibank N.A.
Citigroup
Citigroup
225575000
2014
20141211
competition-related offences
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Citibank N.A., HSBC Bank Plc, JPMorgan Chase Bank N.A., The Royal Bank of Scotland Plc and UBS AG were fined a total of £1.1 billion in settlements with the FCA of findings that they failed to have adequate systems and controls over their foreign exchange businesses, allowing traders to engage in market abuse that put the firms' interests ahead of their clients, with inappropriately shared information and manipulation of spot FX currency rates.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United States
publicly traded
financial services
banking & securities
US1729674242
https://www.fca.org.uk/news/press-releases/fca-fines-five-banks-%C2%A311-billion-fx-failings-and-announces-industry-wide-remediation-programme
UK21-16759
JPMorgan Chase Bank N.A.
JPMorgan Chase
JPMorgan Chase
222166000
2014
20141211
competition-related offences
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Citibank N.A., HSBC Bank Plc, JPMorgan Chase Bank N.A., The Royal Bank of Scotland Plc and UBS AG were fined a total of £1.1 billion in settlements with the FCA of findings that they failed to have adequate systems and controls over their foreign exchange businesses, allowing traders to engage in market abuse that put the firms' interests ahead of their clients, with inappropriately shared information and manipulation of spot FX currency rates.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United States
publicly traded
financial services
banking & securities
US46625H1005
https://www.fca.org.uk/news/press-releases/fca-fines-five-banks-%C2%A311-billion-fx-failings-and-announces-industry-wide-remediation-programme
UK21-16760
The Royal Bank of Scotland plc
NatWest Group PLC
NatWest Group PLC
217000000
2014
20141211
competition-related offences
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Citibank N.A., HSBC Bank Plc, JPMorgan Chase Bank N.A., The Royal Bank of Scotland Plc and UBS AG were fined a total of £1.1 billion in settlements with the FCA of findings that they failed to have adequate systems and controls over their foreign exchange businesses, allowing traders to engage in market abuse that put the firms' interests ahead of their clients, with inappropriately shared information and manipulation of spot FX currency rates.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://www.fca.org.uk/news/press-releases/fca-fines-five-banks-%C2%A311-billion-fx-failings-and-announces-industry-wide-remediation-programme
UK21-16761
HSBC Bank plc
HSBC
HSBC
216363000
2014
20141211
competition-related offences
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Citibank N.A., HSBC Bank Plc, JPMorgan Chase Bank N.A., The Royal Bank of Scotland Plc and UBS AG were fined a total of £1.1 billion in settlements with the FCA of findings that they failed to have adequate systems and controls over their foreign exchange businesses, allowing traders to engage in market abuse that put the firms' interests ahead of their clients, with inappropriately shared information and manipulation of spot FX currency rates.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0005405286
https://www.fca.org.uk/news/press-releases/fca-fines-five-banks-%C2%A311-billion-fx-failings-and-announces-industry-wide-remediation-programme
UK21-16762
Royal Bank of Scotland Plc and National Westminster Bank Plc and Ulster Bank Plc
NatWest Group PLC
NatWest Group PLC
42000000
2014
20141119
financial offences
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RBS, NatWest and Ulster Bank Ltd paid £42 million in settlement of a finding by the FCA that they failed to have adequate IT systems, allowing a failed software update to disable online transaction systems leaving millions of customers unable to assess accounts with problems that went on for several weeks. This was a joint action with the Prudential Regulation Authority which fined the banks £14 million (see separate entry).
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://www.fca.org.uk/news/press-releases/fca-fines-rbs-natwest-and-ulster-bank-ltd-%C2%A342-million-it-failures
UK21-16763
Chase de Vere Independent Financial Advisers Limited
Swiss Life Group
Swiss Life Group
560000
2014
20141105
financial offences
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Chase de Vere paid a £560,000 fine in settlement of a finding by the FCA that the company sold customers Keydata life settlement products without fully researching and understanding the product, and without clearly disclosing distinctive features and risks of the investment.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
Switzerland
publicly traded
financial services
insurance
CH0014852781
https://www.fca.org.uk/news/press-releases/fca-fines-chase-de-vere-failures-surrounding-sale-keydata-products
UK21-16764
Sesame Limited
Aviva PLC
Friends Life Group
Resolution Limited changed its name to Friends Life Group in 2014 and was acquired by Aviva in 2015.
1598000
2014
20141029
financial offences
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Sesame paid a £1.6 million fine in settlement of a finding by the FCA that the company failed to avoid a conflict of interest in its financial advice to customers, setting up a pay to play system of only offering products from selected providers as a way to evade the ban of commission payments.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.fca.org.uk/news/press-releases/fca-fines-sesame-ltd-%E2%80%98pay-play%E2%80%99-arrangements
UK21-16765
Yorkshire Building Society
Yorkshire Building Society
Yorkshire Building Society
4135600
2014
20141028
financial offences
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Yorkshire Building Society paid a £4.1 million fine in settlement of a finding by the FCA that the company treated some mortgage customers in arrears unfairly, with delays in reaching payment solutions that incurred increased fees and interest.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
mutual
financial services
building society
https://www.fca.org.uk/news/press-releases/fca-fines-yorkshire-building-society-%C2%A34135600-failings-dealing-customers
UK21-16766
Barclays Bank plc
Barclays
Barclays
37745000
2014
20140923
financial offences
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Barclays paid a £37.7 million fine in settlement of a finding by the FCA that the Investment Banking Division of the company failed to properly protect client's assets worth £16.5 billion, data errors and failure to follow Client Asset Rules across countries meaning records did not correctly reflect which company in the Investment Banking Division was responsible for assets in the account and could suggest assets belonged to Barclays instead of its clients.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.fca.org.uk/news/press-releases/barclays-fined-%C2%A338-million-putting-%C2%A3165-billion-client-assets-risk
UK21-16767
The Royal Bank of Scotland plc and National Westminster Bank Plc
NatWest Group PLC
NatWest Group PLC
14474600
2014
20140827
financial offences
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RBS and Natwest paid a £14.4 million fine in settlement of a finding by the FCA that the companies advised mortgages sales had failed to provide adequate information to customers and had failed to correctly assess the customers suitability when recommending products.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://www.fca.org.uk/news/press-releases/fca-fines-rbs-and-natwest-failures-mortgage-advice-process
UK21-16768
Deutsche Bank AG
Deutsche Bank
Deutsche Bank
4718800
2014
20140821
financial offences
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Deutsche Bank paid a £4.7 million fine in settlement of a finding by the FCA that the company failed to accurately report trading it undertook in CFD Equity Swaps between 2007 and 2013.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
Germany
publicly traded
financial services
banking & securities
DE0005140008
https://www.fca.org.uk/news/press-releases/deutsche-bank-fined-%C2%A347m-failing-properly-report-transactions
UK21-16769
Lloyds Bank plc and Bank of Scotland plc
Lloyds Banking Group
Lloyds Banking Group
105000000
2014
20140728
competition-related offences
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Lloyds Bank and Bank of Scotland paid £105 million in settlement of a finding by the FCA that the companies manipulated both LIBOR and the SLS Spread, the figure used to calculate fees paid to the Bank of England by the companies benefiting from the Special Liquidity Scheme during the 2008 financial crisis.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.fca.org.uk/news/press-releases/lloyds-banking-group-fined-%C2%A3105m-serious-libor-and-other-benchmark-failings
UK21-16771
Credit Suisse International
UBS
Credit Suisse
UBS took over Credit Suisse in 2023
2398100
2014
20140616
financial offences
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Credit Suisse paid a £2.4 million fine in settlement of a finding by the FCA that the company mis-sold an investment product with a lack of clarity in its returns and risks to unsophisticated investors.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
Switzerland
publicly traded
financial services
banking & securities
CH0244767585
https://www.fca.org.uk/news/press-releases/financial-conduct-authority-fines-credit-suisse-and-yorkshire-building-society
UK21-16772
Yorkshire Building Society
Yorkshire Building Society
Yorkshire Building Society
1429000
2014
20140616
financial offences
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Yorkshire Building Society paid a £1.4 million fine in settlement of a finding by the FCA that the company mis-sold an investment product with a lack of clarity in its returns and risks to unsophisticated investors.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
mutual
financial services
building society
https://www.fca.org.uk/news/press-releases/financial-conduct-authority-fines-credit-suisse-and-yorkshire-building-society
UK21-16773
Barclays Bank plc
Barclays
Barclays
26033500
2014
20140523
financial offences
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Barclays paid a £26 million fine in settlement of a finding by the FCA that the company failed to adequately manage conflicts of interest in relation to inappropriate conduct by a trader participating in options products dependent on the price of gold and also participating in the Gold Fixing, the market's price setting mechanism.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.fca.org.uk/news/press-releases/barclays-fined-%C2%A326m-failings-surrounding-london-gold-fixing-and-former-barclays
UK21-16774
Invesco Asset Management Limited and Invesco Fund Managers Limited
Invesco
Invesco
18643000
2014
20140424
financial offences
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Invesco paid an £18.6 million fine in settlement of a finding by the FCA that it exposed investors to greater levels of risk that it led them to expect, and failed to clearly inform investors of the associated risks of the use of derivatives.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United States
publicly traded
financial services
investment management
BMG491BT1088
https://www.fca.org.uk/news/press-releases/invesco-perpetual-fined-%C2%A3186-million-failings-fund-management
UK21-16776
Santander UK plc
Banco Santander
Banco Santander
12377800
2014
20140324
financial offences
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Santander paid a £12.4 million fine in settlement of a finding by the FCA that the company failed to ensure investment advisers gave suitable advice in consideration of customers' personal circumstances, failed to give clear information about products, and failed to have ongoing checks of investment suitability.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
Spain
publicly traded
financial services
banking
ES0113900J37
https://www.fca.org.uk/news/press-releases/santander-uk-fined-%C2%A3124m-widespread-investment-advice-failings
UK21-16777
Besso Limited
Ardonagh Group
Besso Group
Besso was acquired by BGC Partners in 2017. It was then sold to Ardonagh Group in 2021.
315000
2014
20140317
financial offences
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Besso paid a £315,000 fine in settlement of a finding by the FCA that the company failed to have adequate systems and controls to counter bribery and corruption risks in its general insurance broker business.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
privately held
financial services
insurance
https://www.fca.org.uk/news/press-releases/besso-limited-fined-anti-bribery-and-corruption-systems-failings
UK21-16778
State Street Bank Europe Limited and State Street Global Markets International Limited
State Street Corp.
State Street Corp.
22885000
2014
20140130
financial offences
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State Street Bank Europe Limited and State Street Global Markets International Limited paid a £22.8 million fine in settlement of a finding by the FCA that they deliberately overcharged clients using Transaction Management services on their securities portfolios.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United States
publicly traded
financial services
financial services
US8574771031
https://www.fca.org.uk/news/press-releases/state-street-uk-fined-%C2%A3229m-financial-conduct-authority-transitions-management
UK21-16781
Standard Bank PLC
Industrial and Commercial Bank of China
Standard Bank Group Limited
In 2015 Industrial and Commercial Bank of China acquired a majority stake in Standard Bank PLC
7640400
2014
20140122
financial offences
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Standard Bank paid a £7.6 million fine in settlement of a finding by the FCA that the company failed to have suitable anti-money laundering systems and controls in place.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
China
publicly traded
financial services
banking
CNE1000003G1
https://www.fca.org.uk/news/press-releases/standard-bank-plc-fined-%C2%A376m-failures-its-anti-money-laundering-controls
UK21-16783
JLT Specialty Limited
Marsh & McLennan
Jardine Lloyd Thompson Group
Marsh & McLennan acquired JLT in 2019.
1876000
2013
20131219
consumer-protection-related offences
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JLT Specialty paid a £1.8 million fine in settlement of a finding by the FCA that the company failed to have adequate systems and controls to counter bribery and corruption risks in its insurance broker and risk management services.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United States
publicly traded
financial services
insurance
US5717481023
https://www.fca.org.uk/news/press-releases/firm-fined-%C2%A318million-unacceptable-approach-bribery-corruption-risks-overseas
UK21-16784
Lloyds Bank plc and Bank of Scotland plc
Lloyds Banking Group
Lloyds Banking Group
28038800
2013
20131210
financial offences
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Lloyds Bank and Bank of Scotland paid £28 million in settlement of a finding by the FCA that the companies failed to control incentives to sales staff, resulting in unsuitable savings, insurance and investment products being sold to customers.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.fca.org.uk/publication/final-notices/lloyds-tsb-bank-and-bank-of-scotland.pdf
UK21-16785
Cooperatieve Centrale Raiffeisen-Boerenleenbank B.A.
Rabobank
Rabobank
105000000
2013
20131029
competition-related offences
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Rabobank paid a £105 million fine in settlement of a finding by the FCA that the company's managers and employees sought to manipulate LIBOR in collusion with other brokers and Panel Banks.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
Netherlands
cooperative
financial services
financial services
https://www.fca.org.uk/news/press-releases/fca-fines-rabobank-%C2%A3105-million-serious-libor-related-misconduct
UK21-16788
ICAP Europe Ltd
TP ICAP PLC
ICAP PLC
Tullet Prebon changed its name to TP ICAP after acquiring ICAP in 2016.
14000000
2013
20130925
competition-related offences
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ICAP Europe paid a £14 million fine in settlement of a finding by the FCA that the company's employees sought to manipulate LIBOR through collusion with traders at UBS.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
Jersey
publicly traded
financial services
financial market services
GB00B1H0DZ51
https://www.fca.org.uk/news/press-releases/icap-europe-limited-fined-%C2%A314-million-significant-failings-relation-libor
UK21-16790
Clydesdale Bank PLC
Virgin Money UK PLC
National Australia Bank
National Australia Bank listed CYBG plc in 2016, with Clydesdale Bank as a subsidiary. CYBG acquired Virgin Money in 2018 and changed its name to Virgin Money UK plc.
8904000
2013
20130924
consumer-protection-related offences
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Clydesdale Bank paid a £8.9 million fine in settlement of a finding by the FCA that the company failed to correctly calculate customers mortgage repayments, took too long to correct errors, and treated customers unfairly when they were left with capital shortfalls due to the company's inaccurate calculations.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB00BD6GN030
https://www.fca.org.uk/news/press-releases/clydesdale-bank-fined-%C2%A389-million-failing-treat-its-mortgage-customers-fairly
UK21-16791
JPMorgan Chase Bank N.A.
JPMorgan Chase
JPMorgan Chase
137610000
2013
20130918
financial offences
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JPMorgan Chase paid a £137 million fine in settlement of a finding by the FCA that the company failed to adequately manage the risks of trading in its Synthetic Credit Portfolio, failed to prevent traders concealing losses, and failed to be open and cooperative with the FCA.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United States
publicly traded
financial services
banking & securities
US46625H1005
https://www.fca.org.uk/news/press-releases/jpmorgan-chase-bank-na-fined-%C2%A3137610000-serious-failings-relating-its-chief
UK21-16792
AXA Wealth Services Ltd
Phoenix Group Holdings PLC
AXA
Phoenix Group acquired AXA Wealth Services from AXA in 2017.
1802200
2013
20130912
financial offences
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AXA paid a £1.8 million fine in settlement of a finding by the FCA that the company had insufficient controls over sales advisors to ensure they informed customers accurately and clearly about risks with investment products.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.fca.org.uk/news/press-releases/axa-fined-and-reviews-investment-sales-advice-failings
UK21-16793
Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited
Abrdn PLC
Aberdeen Asset Management
Aberdeen Asset Management merged with Standard Life Assurance in 2017, becoming Standard Life Aberdeen, which changed name to Abrdn in 2021.
7192500
2013
20130902
financial offences
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Aberdeen paid a £7.2 million fine in settlement of a finding by the FCA that the company failed to properly organise and document client money placed in Money Market Deposits with third party banks, placing client assets at risk if the company became insolvent.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
investment management
GB00BF8Q6K64
https://www.fca.org.uk/news/press-releases/aberdeen-asset-managers-and-aberdeen-fund-management-fined-%C2%A372-million-failing
UK21-16794
Guaranty Trust Bank (UK) Limited
Guaranty Trust Bank PLC
Guaranty Trust Bank PLC
525000
2013
20130808
financial offences
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Guaranty Trust Bank paid £525,000 fine in settlement of a finding by the FCA that the company failed to establish adequate anti-money laundering systems.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
Nigeria
publicly traded
financial services
banking and asset management
NGGUARANTY06
https://www.fca.org.uk/news/news-stories/2013-fines
UK21-16795
The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V.
NatWest Group PLC
NatWest Group PLC
5620300
2013
20130716
financial offences
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RBS paid £5.6 million in settlement of a finding by the FCA that the company
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://www.fca.org.uk/your-fca/documents/final-notices/2013/rbs
UK21-16797
Sesame Limited
Aviva PLC
Friends Life Group
Resolution Limited changed its name to Friends Life Group in 2014 and was acquired by Aviva in 2015.
6031200
2013
20130605
financial offences
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Sesame paid a £6 million fine in settlement of a finding by the FCA that the company mis-sold investment products by failing to give customers an accurate assessment of the risks associated with Keydata Products, and failing to spot the sale of unsuitable products by its appointed representatives.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.fca.org.uk/publication/final-notices/sesame-limited.pdf
UK21-16799
J.P. Morgan International Bank Limited
JPMorgan Chase
JPMorgan Chase
3076200
2013
20130510
financial offences
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J.P. Morgan paid a £3 million fine in settlement of a finding by the FCA that the company did not keep accurate records of investment client information, which could result in clients being given unsuitable advice for their situation, experience or tolerance of risk.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United States
publicly traded
financial services
banking & securities
US46625H1005
https://www.fca.org.uk/news/press-releases/jp-morgan-international-bank-fined-systems-and-controls-failings-its-wealth
UK21-16801
The Prudential Assurance Company Limited
M&G PLC
Prudential plc
Prudential changed holding company and name to M&G Prudential in 2018, and in 2019 split into Prudential plc and M&G plc, with Prudential Assurance Co. a subsidiary of M&G.
16000000
2013
20130327
financial offences
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Prudential was fined £16 million following a finding by the FSA that the company failed to deal with the Authority in an open and cooperative manner, by failing to inform it of acquisition plans involving major regulated companies.
agency action
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
asset management
GB00BKFB1C65
https://www.fca.org.uk/publication/final-notices/fsa-prudential-plc.pdf
UK21-16837
Prudential plc
Prudential PLC
Prudential PLC
14000000
2013
20130327
financial offences
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Prudential was fined £14 million following a finding by the FSA that the company failed to deal with the Authority in an open and cooperative manner, by failing to inform it of acquisition plans involving major regulated companies.
agency action
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
insurance
GB0007099541
https://www.fca.org.uk/publication/final-notices/fsa-pru-plc.pdf
UK21-16838
UBS AG
UBS
UBS
9450000
2013
20130208
financial offences
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UBS paid a £9.45 million fine in settlement of a finding by the FSA that the company mis-sold investment funds by selling a Fund that was insufficiently understood, not sufficiently checking or reviewing customers' requirements and tolerance to risk, and not responding appropriately to the risks to the Fund during the financial crisis in 2007 and 2008.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
Switzerland
publicly traded
financial services
banking & securities
CH0244767585
https://www.fca.org.uk/publication/final-notices/ubsag_0.pdf
UK21-16843
The Royal Bank of Scotland plc
NatWest Group PLC
NatWest Group PLC
87500000
2013
20130206
competition-related offences
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RBS paid £87.5 million in settlement of a finding by the FSA that the company's employees sought to manipulate LIBOR through collusion in the company and with other banks and traders.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://www.fca.org.uk/publication/final-notices/rbs.pdf
UK21-16844
The Co-operative Bank plc
Co-operative Bank
Co-operative Group Limited
Co-operative Group became a minority shareholder in the bank later in 2013.
113300
2013
20130104
consumer-protection-related offences
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The Co-op Bank paid a £113,000 fine in settlement of a finding by the FSA that the company did not treat customers who were requesting Payment Protection Insurance refunds fairly.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
privately held
financial services
banking
https://www.fca.org.uk/publication/final-notices/co-op.pdf
UK21-16845
UBS AG
UBS
UBS
160000000
2012
20121219
competition-related offences
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UBS paid a £160 million fine in settlement of a finding by the FSA that the company's employees colluded with individuals both inside and outside the bank, and with other businesses, to influence the LIBOR and EURIBOR rates for their benefit.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
Switzerland
publicly traded
financial services
banking & securities
CH0244767585
https://webarchive.nationalarchives.gov.uk/20130402201303/http://www.fsa.gov.uk/library/communication/pr/2012/116.shtml
UK21-16846
UBS AG
UBS
UBS
29700000
2012
20121126
financial offences
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UBS paid a £29.7 million fine in settlement of a finding by the FSA that the company failed to prevent large scale unauthorised trading, after a trader was convicted of fraud with $2.3 billion of losses in Global Synthetic Equities trading.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
Switzerland
publicly traded
financial services
banking & securities
CH0244767585
https://webarchive.nationalarchives.gov.uk/20130402200625/http://www.fsa.gov.uk/library/communication/pr/2012/105.shtml
UK21-16848
Plus500UK Limited
Plus500 Limited
Plus500 Limited
205128
2012
20121024
financial offences
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Plus500UK and James Sharp and Co. paid £205,128 and £49,000 fines respectively in settlement of findings by the FSA that the companies failed to provide accurate transaction reports on their trading, when reportable transactions had to be submitted to the FSA by the close of the business day after the transaction took place for detection and investigation of market abuse.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
Israel
publicly traded
financial services
online trading services
IL0011284465
https://webarchive.nationalarchives.gov.uk/20130402202226/http://www.fsa.gov.uk/library/communication/pr/2012/096.shtml
UK21-16851
Bank of Scotland
Lloyds Banking Group
Lloyds Banking Group
4200000
2012
20121019
consumer-protection-related offences
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Bank of Scotland paid a £4.2 million fine in settlement of a finding by the FSA that the company's records for mortgage customers were not kept accurately between 2004 and 2011, resulting in confusion over rates and payments.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://webarchive.nationalarchives.gov.uk/20130402200631/http://www.fsa.gov.uk/library/communication/pr/2012/094.shtml
UK21-16853
Sun Life Assurance Company of Canada (UK) Limited
Sun Life Financial
Sun Life Financial
600000
2012
20121018
financial offences
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Sun Life paid a £600,000 fine in settlement of a finding by the FSA that the company failed to have adequate governance arrangements for protection of policyholders' interests, after two significant transactions occurred without sufficient review.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
Canada
publicly traded
financial services
life insurance
CA8667961053
https://webarchive.nationalarchives.gov.uk/20130402201645/http://www.fsa.gov.uk/library/communication/pr/2012/093.shtml
UK21-16854
Blackrock Investment Management (UK) Limited
BlackRock
BlackRock
9533100
2012
20120911
financial offences
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Blackrock Investment Management paid a £9.5 million fine in settlement of a finding by the FSA that the company failed to set up trust letters to ensure client money was clearly identifiable and protected in the event of the company's insolvency.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United States
publicly traded
financial services
financial services
US09247X1019
https://webarchive.nationalarchives.gov.uk/20130402200848/http://www.fsa.gov.uk/library/communication/pr/2012/086.shtml
UK21-16856
Barclays Bank plc
Barclays
Barclays
59500000
2012
20120627
competition-related offences
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Barclays paid a £59.5 million fine in settlement of a finding by the FSA that the company's employees colluded with individuals both inside and outside the bank, and with other businesses, to influence the LIBOR and EURIBOR rates for their benefit.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://webarchive.nationalarchives.gov.uk/20130402202450/http://www.fsa.gov.uk/library/communication/pr/2012/070.shtml
UK21-16858
Coutts & Company
NatWest Group PLC
NatWest Group PLC
RBS Group changed its name to NatWest Group in 2020
8750000
2012
20120326
financial offences
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Coutts paid an £8.75 million fine in settlement of a finding by the FSA that the company did not establish and maintain effective anti-money laundering systems when dealing with high-risk customers.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://webarchive.nationalarchives.gov.uk/20130402202742/http://www.fsa.gov.uk/library/communication/pr/2012/032.shtml
UK21-16866
Santander UK plc
Banco Santander
Banco Santander
1500000
2012
20120220
financial offences
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Santander paid a £1.5 million fine in settlement of a finding by the FSA that the company failed to provide clear and accurate information about certain investment products, specifically that they had limited cover under the Financial Services Compensation Scheme.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
Spain
publicly traded
financial services
banking
ES0113900J37
https://webarchive.nationalarchives.gov.uk/20130402203242/http://www.fsa.gov.uk/library/communication/pr/2012/017.shtml
UK21-16867
UK Insurance Limited
Direct Line Insurance Group PLC
NatWest Group PLC
Royal Bank of Scotland Group plc took a portion of Direct Line public in 2012 and ceased to have a majority stake in 2013. RBS changed its name to NatWest Group in 2020.
2170000
2012
20120117
consumer-protection-related offences
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UK Insurance paid a £2.17 million fine in settlement of a finding by the FSA that its companies Direct Line Insurance and Churchill Insurance altered closed complaint files that were sent to the FSA for review.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
insurance
GB00BY9D0Y18
https://webarchive.nationalarchives.gov.uk/20130402203233/http://www.fsa.gov.uk/library/communication/pr/2012/003.shtml
UK21-16871
Combined Insurance Company of America
Chubb Limited
Chubb Limited
2800000
2011
20111216
consumer-protection-related offences
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CICA paid a £2.8 fine in settlement of a finding by the FSA that the company failed to treat insurance customers fairly when it lacked management and internal controls to check suitability of policies sold, fairness of claims, and fairness of complaints handling.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
Switzerland
publicly traded
financial services
insurance
CH0044328745
https://webarchive.nationalarchives.gov.uk/20130403014612/http://www.fsa.gov.uk/library/communication/pr/2011/fsa-fines-combined-insurance-company-of-america-28-million-for-putting-its-customers-at-risk-of-being-treated-unfairly
UK21-16872
Integrated Financial Arrangements plc
IntegraFin Holdings PLC
Integrated Financial Arrangements plc
Integrated Financial Arrangements was combined with its affiliates to form a new listed company, IntegraFin Holdings PLC, in 2018.
3500000
2011
20111205
financial offences
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Integrated Financial Arrangements paid a £3.5 million fine in settlement of a finding by the FSA that the company failed to have required accounting and documentation to identify client money, risking loss of clients' money if the company became insolvent.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
investor services
GB00BD45SH49
https://webarchive.nationalarchives.gov.uk/20130403013048/http://www.fsa.gov.uk/library/communication/pr/2011/fsa-fines-integrated-financial-arrangements-plc-35m-for-client-money-breaches
UK21-16873
HSBC Bank plc
HSBC
HSBC
10500000
2011
20111202
financial offences
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HSBC paid a £10.5 million fine in settlement of a finding by the FSA that the company's subsidiary NHFA Ltd., specialised in selling investment bonds to fund care costs for elderly customers, gave investment advice and sold investment products that were unsuitable for customers' situations and tolerance of risk.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
banking
GB0005405286
https://webarchive.nationalarchives.gov.uk/20130403013929/http://www.fsa.gov.uk/library/communication/pr/2011/105.shtml
UK21-16874
Coutts & Company
NatWest Group PLC
NatWest Group PLC
RBS Group changed its name to NatWest Group in 2020
6300000
2011
20111107
financial offences
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Coutts paid a £6.3 million fine in settlement of a finding by the FSA that the company mis-sold the AIG Life Premier Access Bond and Premier Bond, Enhanced Variable Rate Fund by failing to take reasonable care to ensure its advice was suitable for customers needs and that customers understood the Fund and its risks.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://webarchive.nationalarchives.gov.uk/20130202071504/http://www.fsa.gov.uk/pages/library/communication/pr/2011/093.shtml
UK21-16877
Credit Suisse (UK) Limited
UBS
Credit Suisse
UBS took over Credit Suisse in 2023
5950000
2011
20111025
financial offences
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Credit Suisse paid a £5.95 million fine in settlement of a finding by the FSA that it failed to ensure that investment products sold to customers were suitable and matched the customers' attitudes to risk.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
Switzerland
publicly traded
financial services
banking & securities
CH0244767585
https://webarchive.nationalarchives.gov.uk/20130202071517/http://www.fsa.gov.uk/pages/library/communication/pr/2011/087.shtml
UK21-16878
Willis Limited
Willis Towers Watson
Willis Group
Willis Towers Watson was formed by the merger of Willis Group and Towers Watson in 2016.
6895000
2011
20110721
competition-related offences
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Willis paid a £6.9 million fine in settlement of a finding by the FSA that the company failed to have effective anti-bribery and corruption systems and controls.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
insurance
IE00BDB6Q211
https://www.fca.org.uk/news/press-releases/fsa-fines-willis-limited-%C2%A36895-million-anti-bribery-and-corruption-systems-and
UK21-16883
Bank of Scotland Plc
Lloyds Banking Group
Lloyds Banking Group
3500000
2011
20110523
financial offences
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Bank of Scotland paid a £3.5 million fine in settlement of a finding by the FSA that the company mishandled complaints about retail investment products.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://webarchive.nationalarchives.gov.uk/20130412020830/http://www.fsa.gov.uk/pages/library/communication/pr/2011/045.shtml
UK21-16885
Norwich and Peterborough Building Society
Yorkshire Building Society
Norwich and Peterborough Building Society
Norwich and Peterborough Building Society merged with Yorkshire Building Society later in 2011.
1400000
2011
20110415
financial offences
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N&P paid a £1.4 million fine in settlement of a finding by the FSA that the company failed to take reasonable care to ensure its investment advice to customers was suitable when it sold Keydata Products.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
mutual
financial services
building society
https://webarchive.nationalarchives.gov.uk/20130202071515/http://www.fsa.gov.uk/pages/library/communication/pr/2011/037.shtml
UK21-16886
Barclays Capital Securities Limited
Barclays
Barclays
1127559
2011
20110126
financial offences
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Barclays Capital paid a £1.1 million fine in settlement of a finding by the FSA that the company failed to maintain adequate records to distinguish client assets accurately, risking loss to the client if the company became insolvent.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://webarchive.nationalarchives.gov.uk/20130202071602/http://www.fsa.gov.uk/pages/library/communication/pr/2011/014.shtml
UK21-16890
Barclays Bank plc
Barclays
Barclays
7700000
2011
20110114
financial offences
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Barclays paid a £7.7 million fine in settlement of a finding by the FSA that the company failed to ensure that suitability of its investment advice to customers when selling Aviva's Global Balanced Income Fund and Global Cautious Income Fund.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://webarchive.nationalarchives.gov.uk/20130202071605/http://www.fsa.gov.uk/pages/library/communication/pr/2011/006.shtml
UK21-16894
Royal Bank of Scotland Plc and National Westminster Bank Plc
NatWest Group PLC
NatWest Group PLC
2800000
2011
20110111
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
RBS and Natwest paid a £2.8 million fine in settlement of a finding by the FSA that the companies had inadequate handling of customer complaints.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://webarchive.nationalarchives.gov.uk/20130412012716/http://www.fsa.gov.uk/pages/library/communication/pr/2011/003.shtml
UK21-16895
Scottish Equitable PLC
Aegon
Aegon
2800000
2010
20101215
financial offences
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Scottish Equitable paid a £2.8 million fine in settlement of a finding by the FSA that the company failed to operate in an effective manner leading to pension and fund payments being miscalculated and policy documents unissued.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
Netherlands
publicly traded
financial services
insurance
NL0000303709
https://webarchive.nationalarchives.gov.uk/20130202071835/http://www.fsa.gov.uk/pages/library/communication/pr/2010/178.shtml
UK21-16896
Goldman Sachs International
Goldman Sachs
Goldman Sachs
17500000
2010
20100909
financial offences
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Goldman Sachs paid a £17.5 million fine in settlement of a finding by the FSA that the company failed to have systems in place to inform the FSA when information with regulatory implications became known to the company. The company failed to inform the FSA when a US affiliate and an employee who had transferred to London came under investigation by the United States Securities and Exchange Commission.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United States
publicly traded
financial services
banking & securities
US38141G1040
https://webarchive.nationalarchives.gov.uk/20130202071922/http://www.fsa.gov.uk/pages/library/communication/pr/2010/141.shtml
UK21-16901
Societe Generale
Societe Generale
Societe Generale
1575000
2010
20100825
financial offences
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Societe Generale paid a £1.5 million fine in settlement of a finding by the FSA that the company failed to submit accurate transaction reports to the Authority.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
France
publicly traded
financial services
banking
FR0000130809
https://webarchive.nationalarchives.gov.uk/20130412012202/http://www.fsa.gov.uk/pages/library/communication/pr/2010/135.shtml
UK21-16903
Zurich Insurance Plc
Zurich Insurance
Zurich Insurance
2275000
2010
20100819
consumer-protection-related offences
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Zurich paid a £2.28 million fine in settlement of a finding by the FSA that the company failed to take reasonable care to protect clients' confidential information, when an unencrypted data tape was lost by a third party processor and it took a year for the incident to become known.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
Switzerland
publicly traded
financial services
insurance
CH0011075394
https://webarchive.nationalarchives.gov.uk/20130202071849/http://www.fsa.gov.uk/pages/library/communication/pr/2010/134.shtml
UK21-16904
The Royal Bank of Scotland plc et al.
NatWest Group PLC
NatWest Group PLC
5600000
2010
20100802
financial offences
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The Royal Bank of Scotland Group (The Royal Bank of Scotland Plc, National Westminster Bank Plc, Ulster Bank Limited, and Coutts & Company) paid a £5.6 million fine in settlement of a finding by the FSA that the companies failed to establish and maintain appropriate systems to prevent funds or financial services being made available to persons listed by the government as subject to financial sanctions.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://webarchive.nationalarchives.gov.uk/20130409061706/http://www.fsa.gov.uk/pubs/other/rbs_group.pdf
UK21-16905
Rowan Dartington & Co Limited
St. James's Place PLC
Evolve Capital
Evolve Capital sold Rowan Dartington to Rowan Dartington Holdings Limited in 2013. St. James Place acquired Rowan Dartington in 2015.
511000
2010
20100604
financial offences
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Rowan Dartington paid a £511,000 fine in settlement of a finding by the FSA that the company failed to maintain adequate accounts with trust status to distinguish client assets accurately, risking loss to the client if the company became insolvent.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
wealth management
GB0007669376
https://webarchive.nationalarchives.gov.uk/20130409051832/http://www.fsa.gov.uk/pubs/final/rowan_dartington.pdf
UK21-16910
Close Investments Limited
Close Brothers Group PLC
Close Brothers Group PLC
98000
2010
20100604
financial offences
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Close Investments paid a £98,000 fine in settlement of a finding by the FSA that the company failed to maintain adequate accounts with trust status to distinguish client assets accurately, risking loss to the client if the company became insolvent.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
merchant banking
GB0007668071
https://webarchive.nationalarchives.gov.uk/20130409060109/http://www.fsa.gov.uk/pages/library/communication/pr/2010/094.shtml
UK21-16911
J.P. Morgan Securities Ltd.
JPMorgan Chase
JPMorgan Chase
33320000
2010
20100525
financial offences
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J.P. Morgan Securities paid a £33.32 million fine in settlement of a finding by the FSA that the company failed to maintain adequate accounts with trust status to distinguish client assets accurately, risking loss to the client if the company became insolvent.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United States
publicly traded
financial services
banking & securities
US46625H1005
https://webarchive.nationalarchives.gov.uk/20130409024928/http://www.fsa.gov.uk/pages/library/communication/pr/2010/089.shtml
UK21-16912
Commerzbank AG
Commerzbank
Commerzbank
595000
2010
20100427
financial offences
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Commerzbank paid a £5.95 million fine in settlement of a finding by the FSA that the company failed to submit accurate transaction reports to the Authority.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
Germany
publicly traded
financial services
banking
DE000CBK1001
https://webarchive.nationalarchives.gov.uk/20130409030041/http://www.fsa.gov.uk/pages/library/communication/pr/2010/073.shtml
UK21-16915
Winterflood Securities Limited
Close Brothers Group PLC
Close Brothers Group PLC
4052500
2010
20100422
financial offences
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Winterflood was ordered to pay a £4 million fine and jointly pay £52,500 costs in judgment of a finding by the FSA that the company and two of its traders had been part of a scheme to distort the market for shares in Fundamental-E Investments Plc by misuse of rollovers and delayed rollovers in trading.
agency action
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
merchant banking
GB0007668071
https://webarchive.nationalarchives.gov.uk/20130409031200/http://www.fsa.gov.uk/pages/library/communication/pr/2010/071.shtml
UK21-16916
Credit Suisse Securities (Europe) Limited et al.
UBS
Credit Suisse
UBS took over Credit Suisse in 2023
1750000
2010
20100408
financial offences
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Credit Suisse Securities (Europe) Limited, Credit Suisse (UK) Limited, Credit Suisse International, and Credit Suisse AG paid a £1.75 million fine in settlement of findings by the FSA that the company failed to submit accurate transaction reports to the Authority.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
Switzerland
publicly traded
financial services
banking & securities
CH0244767585
https://webarchive.nationalarchives.gov.uk/20130409025739/http://www.fsa.gov.uk/pages/library/communication/pr/2010/062.shtml
UK21-16919
Instinet Europe Limited
Nomura
Nomura
1050000
2010
20100408
financial offences
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Instinet Europe Limited paid a £1.05 million fine in settlement of a finding by the FSA that the company failed to submit accurate transaction reports to the Authority.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
Japan
publicly traded
financial services
financial services
JP3762400004
https://webarchive.nationalarchives.gov.uk/20130409025739/http://www.fsa.gov.uk/pages/library/communication/pr/2010/062.shtml
UK21-16921
Standard Life Assurance Limited
Phoenix Group Holdings PLC
Standard Life
Standard Life Merged with Aberdeen Asset Management in 2017, becoming Standard Life Aberdeen (later renamed Abrdn). Phoenix Group acquired the Standard Life business from Standard Life Aberdeen in 2018.
2450000
2010
20100120
financial offences
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Standard Life paid a £2.45 million fine in settlement of a finding by the FSA that the company used misleading marketing material in its sales of a Pension Fund.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://webarchive.nationalarchives.gov.uk/20130202071839/http://www.fsa.gov.uk/pages/library/communication/pr/2010/010.shtml
UK21-16926
Scotwaste Recycling Limited
Macquarie
Beauparc
Later in 2021 Beauparc was acquired by Macquarie.
BATHGATE
Scotland
0
2021
20210226
safety-related offences
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Extractive and utility supply industries
agency action
Improvement Notice
311400651
UK-HSE
Health and Safety Executive
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://resources.hse.gov.uk/notices/notices/notice_details.asp?SF=CN&SV=311400651
UK21-17990
Alliance Medical Radiopharmacy Limited
iCON Infrastructure
Life Healthcare Group
Life Healthcare sold Alliance Medical to iCON Infrastructure in 2024
NEWCASTLE
England
0
2019
20191218
safety-related offences
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Manufacturing
agency action
Improvement Notice
310338159
UK-HSE
Health and Safety Executive
United Kingdom
privately held
financial services
infrastructure investments
https://resources.hse.gov.uk/notices/notices/notice_details.asp?SF=CN&SV=310338159
UK21-21380
Alliance Medical Radiopharmacy Limited
iCON Infrastructure
Life Healthcare Group
Life Healthcare sold Alliance Medical to iCON Infrastructure in 2024
NEWCASTLE
England
0
2019
20191218
safety-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Manufacturing
agency action
Improvement Notice
310338200
UK-HSE
Health and Safety Executive
United Kingdom
privately held
financial services
infrastructure investments
https://resources.hse.gov.uk/notices/notices/notice_details.asp?SF=CN&SV=310338200
UK21-21381
Alliance Medical Radiopharmacy Limited
iCON Infrastructure
Life Healthcare Group
Life Healthcare sold Alliance Medical to iCON Infrastructure in 2024
NEWCASTLE
England
0
2019
20191218
safety-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Manufacturing
agency action
Improvement Notice
310338205
UK-HSE
Health and Safety Executive
United Kingdom
privately held
financial services
infrastructure investments
https://resources.hse.gov.uk/notices/notices/notice_details.asp?SF=CN&SV=310338205
UK21-21382
Stagecoach Devon Limited
Deutsche Bank
Stagecoach Group PLC
DWS Infrastructure, owned by Deutsche Bank, acquired Stagecoach in 2022
England
0
2019
20191113
safety-related offences
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Total service industries
agency action
Improvement Notice
310329520
UK-HSE
Health and Safety Executive
Germany
publicly traded
financial services
banking & securities
DE0005140008
https://resources.hse.gov.uk/notices/notices/notice_details.asp?SF=CN&SV=310329520
UK21-21924
Associated Waste Management Limited
Macquarie
Beauparc
In 2021 Beauparc was acquired by Macquarie.
LEEDS
England
0
2019
20190923
safety-related offences
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Extractive and utility supply industries
agency action
Improvement Notice
310133415
UK-HSE
Health and Safety Executive
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://resources.hse.gov.uk/notices/notices/notice_details.asp?SF=CN&SV=310133415
UK21-22931
Associated Waste Management Limited
Macquarie
Beauparc
In 2021 Beauparc was acquired by Macquarie.
LEEDS
England
0
2019
20190822
safety-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Extractive and utility supply industries
agency action
Improvement Notice
310086139
UK-HSE
Health and Safety Executive
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://resources.hse.gov.uk/notices/notices/notice_details.asp?SF=CN&SV=310086139
UK21-23287
Alliance Medical Ltd
iCON Infrastructure
Life Healthcare Group
Life Healthcare sold Alliance Medical to iCON Infrastructure in 2024
LEEDS
England
0
2019
20190606
safety-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Total service industries
agency action
Improvement Notice
309886679
UK-HSE
Health and Safety Executive
United Kingdom
privately held
financial services
infrastructure investments
https://resources.hse.gov.uk/notices/notices/notice_details.asp?SF=CN&SV=309886679
UK21-24694
Alliance Medical Ltd
iCON Infrastructure
Life Healthcare Group
Life Healthcare sold Alliance Medical to iCON Infrastructure in 2024
LEEDS
England
0
2019
20190606
safety-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Total service industries
agency action
Improvement Notice
309886850
UK-HSE
Health and Safety Executive
United Kingdom
privately held
financial services
infrastructure investments
https://resources.hse.gov.uk/notices/notices/notice_details.asp?SF=CN&SV=309886850
UK21-24695
Alliance Medical Ltd
iCON Infrastructure
Life Healthcare Group
Life Healthcare sold Alliance Medical to iCON Infrastructure in 2024
LEEDS
England
0
2019
20190606
safety-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Total service industries
agency action
Improvement Notice
309886943
UK-HSE
Health and Safety Executive
United Kingdom
privately held
financial services
infrastructure investments
https://resources.hse.gov.uk/notices/notices/notice_details.asp?SF=CN&SV=309886943
UK21-24696
Alliance Medical Ltd
iCON Infrastructure
Life Healthcare Group
Life Healthcare sold Alliance Medical to iCON Infrastructure in 2024
LEEDS
England
0
2019
20190606
safety-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Total service industries
agency action
Improvement Notice
309886965
UK-HSE
Health and Safety Executive
United Kingdom
privately held
financial services
infrastructure investments
https://resources.hse.gov.uk/notices/notices/notice_details.asp?SF=CN&SV=309886965
UK21-24697
Associated Waste Management Limited
Macquarie
Associated Waste Management Limited
Beauparc acquired Associated Waste later in 2018. In 2021 Beauparc was acquired by Macquarie.
LEEDS
England
0
2018
20180409
safety-related offences
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Extractive and utility supply industries
agency action
Immediate Prohibition Notice
309305690
UK-HSE
Health and Safety Executive
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://resources.hse.gov.uk/notices/notices/notice_details.asp?SF=CN&SV=309305690
UK21-33085
BNP Paribas Real Estate Advisory & Property Manage
BNP Paribas
BNP Paribas
PONTYCLUN
Wales
0
2017
20171011
safety-related offences
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Total service industries
agency action
Improvement Notice
308558889
UK-HSE
Health and Safety Executive
France
publicly traded
financial services
banking
FR0000131104
https://resources.hse.gov.uk/notices/notices/notice_details.asp?SF=CN&SV=308558889
UK21-36583
Alliance Medical Ltd
iCON Infrastructure
Life Healthcare Group
Life Healthcare sold Alliance Medical to iCON Infrastructure in 2024
England
0
2017
20170602
safety-related offences
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Total service industries
agency action
Improvement Notice
307795228
UK-HSE
Health and Safety Executive
United Kingdom
privately held
financial services
infrastructure investments
https://resources.hse.gov.uk/notices/notices/notice_details.asp?SF=CN&SV=307795228
UK21-39446
Alliance Medical Ltd
iCON Infrastructure
Life Healthcare Group
Life Healthcare sold Alliance Medical to iCON Infrastructure in 2024
England
0
2017
20170504
safety-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Total service industries
agency action
Improvement Notice
307974231
UK-HSE
Health and Safety Executive
United Kingdom
privately held
financial services
infrastructure investments
https://resources.hse.gov.uk/notices/notices/notice_details.asp?SF=CN&SV=307974231
UK21-40088
Alliance Medical Ltd
iCON Infrastructure
Life Healthcare Group
Life Healthcare sold Alliance Medical to iCON Infrastructure in 2024
England
0
2017
20170504
safety-related offences
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Total service industries
agency action
Improvement Notice
307974270
UK-HSE
Health and Safety Executive
United Kingdom
privately held
financial services
infrastructure investments
https://resources.hse.gov.uk/notices/notices/notice_details.asp?SF=CN&SV=307974270
UK21-40089
WSR Recycling Limited
Macquarie
WSR Recycling Limited
Beauparc acquired WSR in 2017. In 2021 Beauparc was acquired by Macquarie.
WIDNES
England
0
2016
20160922
safety-related offences
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Extractive and utility supply industries
agency action
Improvement Notice
307469847
UK-HSE
Health and Safety Executive
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://resources.hse.gov.uk/notices/notices/notice_details.asp?SF=CN&SV=307469847
UK21-44323
International Automotive Components Group Limited
Invesco
Invesco
North Warwickshire
England
9310
2014
20140930
safety-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Manufacturing
agency action
conviction
4415156
UK-HSE
Health and Safety Executive
United States
publicly traded
financial services
investment management
BMG491BT1088
https://resources.hse.gov.uk/convictions-history/case/case_details.asp?SF=CN&SV=4415156
Penalty amount is the sum of the fine and any costs awarded to HSE.
UK21-46980
Cambus Limited
Deutsche Bank
Stagecoach Group PLC
DWS Infrastructure, owned by Deutsche Bank, acquired Stagecoach in 2022
Central Bedfordshire UA
England
555401
2013
20130226
safety-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Total service industries
agency action
conviction
4499492
UK-HSE
Health and Safety Executive
Germany
publicly traded
financial services
banking & securities
DE0005140008
https://resources.hse.gov.uk/convictions-history/case/case_details.asp?SF=CN&SV=4499492
Penalty amount is the sum of the fine and any costs awarded to HSE.
UK21-47667
Allianz Engineering Inspection Services Ltd
Allianz
Allianz
Guildford
England
14232
2010
20100620
safety-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Manufacturing
agency action
conviction
4368702
UK-HSE
Health and Safety Executive
Germany
publicly traded
financial services
insurance
DE0008404005
https://resources.hse.gov.uk/convictions-history/case/case_details.asp?SF=CN&SV=4368702
Penalty amount is the sum of the fine and any costs awarded to HSE.
UK21-48787
American Express Services Europe Limited
American Express
American Express
90000
2021
20210520
consumer-protection-related offences
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The Information Commissioner's Office (ICO) fined American Express Services Europe Limited (Amex) £90,000 for sending more than four million marketing emails to customers who did not want to receive them.
agency action
UK-ICO
Information Commissioner's Office
United States
publicly traded
financial services
financial services
US0258161092
https://ico.org.uk/about-the-ico/news-and-events/news-and-blogs/2021/05/amex-fined-for-sending-four-million-unlawful-emails/
UK21-50893
Newday Limited
NewDay Limited
NewDay Limited
London
England
230000
2018
20180111
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
London-based Newday Limited was fined £230,000 for over 44 million spam emails.
agency action
UK-ICO
Information Commissioner's Office
United Kingdom
privately held
financial services
consumer lending
https://ico.org.uk/about-the-ico/news-and-events/news-and-blogs/2018/01/firms-behind-44-million-spam-emails-fined/
UK21-50971
Vanquis Bank Limited
Vanquis Banking Group
Vanquis Banking Group
In 2023 Provident Financial changed its name to Vanquis Banking Group.
Bradford
England
75000
2017
20171010
consumer-protection-related offences
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Vanquis Bank Limited, based in Bradford, was accused of sending 870,849 spam text messages and 620,000 spam emails to promote its credit cards. The ICO said both the emails and texts broke the law because the recipients had not consented to being sent such messages.
agency action
UK-ICO
Information Commissioner's Office
United Kingdom
publicly traded
financial services
sub-prime lending
GB00B1Z4ST84
https://ico.org.uk/about-the-ico/news-and-events/news-and-blogs/2017/10/bradford-based-bank-and-london-advertising-firm-fined-over-illegal-marketing/
UK21-50979
Provident Personal Credit Ltd
Vanquis Banking Group
Vanquis Banking Group
In 2023 Provident Financial changed its name to Vanquis Banking Group.
Bradford
England
80000
2017
20170717
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
A credit company responsible for sending nearly one million nuisance texts in six months was fined £80,000 by the Information Commissioner's Office.
agency action
UK-ICO
Information Commissioner's Office
United Kingdom
publicly traded
financial services
sub-prime lending
GB00B1Z4ST84
https://ico.org.uk/about-the-ico/news-and-events/news-and-blogs/2017/07/loan-firm-responsible-for-nearly-a-million-nuisance-text-messages-is-fined/
UK21-50989
Royal & Sun Alliance Insurance PLC
Intact Financial Corporation
Intact Financial Corporation
150000
2017
20170110
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
The ICO fined Royal & Sun Alliance Insurance PLC £150,000 following the loss of the personal information of nearly 60,000 customers.
agency action
UK-ICO
Information Commissioner's Office
Canada
publicly traded
financial services
insurance
CA45823T1066
https://ico.org.uk/about-the-ico/news-and-events/news-and-blogs/2017/01/150-000-fine-for-insurance-company-that-failed-to-keep-customers-information-safe/
UK21-51023
Bank of Scotland
Lloyds Banking Group
Lloyds Banking Group
75000
2013
20130730
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Multiple faxes containing personal data sent to incorrect recipient
agency action
UK-ICO
Information Commissioner's Office
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://ico.org.uk/action-weve-taken/the-icos-work-to-recover-fines/
UK21-51079
Prudential
Prudential PLC
Prudential PLC
50000
2012
20121029
consumer-protection-related offences
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Inaccuracy of customer records
agency action
UK-ICO
Information Commissioner's Office
United Kingdom
publicly traded
financial services
insurance
GB0007099541
https://ico.org.uk/action-weve-taken/the-icos-work-to-recover-fines/
UK21-51087
National Westminster Bank plc
NatWest Group PLC
NatWest Group PLC
0
2013
20130111
consumer-protection-related offences
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The OFT imposed requirements on RBS and NatWest to address concerns the banks were using charging orders (a court order that secures the debtor's property for payment of a debt) in a fashion that was unfair, in breach of the Consumer Credit Act.
agency action
UK-OFT
Office of Fair Trading
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://webarchive.nationalarchives.gov.uk/20131101173234/http://www.oft.gov.uk/news-and-updates/press/2013/03-13
UK21-51823
Royal Bank of Scotland plc
NatWest Group PLC
NatWest Group PLC
0
2013
20130111
consumer-protection-related offences
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The OFT imposed requirements on RBS and NatWest to address concerns the banks were using charging orders (a court order that secures the debtor's property for payment of a debt) in a fashion that was unfair, in breach of the Consumer Credit Act.
agency action
UK-OFT
Office of Fair Trading
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://webarchive.nationalarchives.gov.uk/20131101173234/http://www.oft.gov.uk/news-and-updates/press/2013/03-13
UK21-51824
Aviva Insurance UK Ltd.
Aviva PLC
Aviva PLC
0
2011
20111202
competition-related offences
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Six Insurance companies and two IT service providers made formal commitments to limit the data exchanged between them to prevent concerns it could violate competition law if used to coordinate on price.
agency action
Undertaking with the OFT
UK-OFT
Office of Fair Trading
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.gov.uk/cma-cases/private-motor-insurance-exchange-of-data
UK21-51865
AXA Insurance UK plc
AXA
AXA
0
2011
20111202
competition-related offences
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Six Insurance companies and two IT service providers made formal commitments to limit the data exchanged between them to prevent concerns it could violate competition law if used to coordinate on price.
agency action
Undertaking with the OFT
UK-OFT
Office of Fair Trading
France
publicly traded
financial services
insurance
FR0000120628
https://www.gov.uk/cma-cases/private-motor-insurance-exchange-of-data
UK21-51866
Liverpool Victoria Insurance Company Ltd
Allianz
Liverpool Victoria Friendly Society
Allianz acquired LV General Insurance in 2020.
0
2011
20111202
competition-related offences
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Six Insurance companies and two IT service providers made formal commitments to limit the data exchanged between them to prevent concerns it could violate competition law if used to coordinate on price.
agency action
Undertaking with the OFT
UK-OFT
Office of Fair Trading
Germany
publicly traded
financial services
insurance
DE0008404005
https://www.gov.uk/cma-cases/private-motor-insurance-exchange-of-data
UK21-51868
Zurich Insurance plc
Zurich Insurance
Zurich Insurance
0
2011
20111202
competition-related offences
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Six Insurance companies and two IT service providers made formal commitments to limit the data exchanged between them to prevent concerns it could violate competition law if used to coordinate on price.
agency action
Undertaking with the OFT
UK-OFT
Office of Fair Trading
Switzerland
publicly traded
financial services
insurance
CH0011075394
https://www.gov.uk/cma-cases/private-motor-insurance-exchange-of-data
UK21-51871
Barclays Bank plc
Barclays
Barclays
0
2011
20110120
competition-related offences
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RBS paid a £28.5 million fine in settlement of a decision by the OFT that it and Barclays engaged in anti-competitive actions by sharing confidential future pricing information for their loan products offered to large professional services firms. Barclays brought the matter to the OFT's attention and was granted immunity to a fine under the leniency policy.
agency action
Settlement and Leniency agreement with OFT
UK-OFT
Office of Fair Trading
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.gov.uk/cma-cases/loan-products-to-professional-service-firms-investigation-into-anti-competitive-practices
UK21-51904
Royal Bank of Scotland Group plc
NatWest Group PLC
NatWest Group PLC
28590000
2011
20110120
competition-related offences
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RBS paid a £28.5 million fine in settlement of a decision by the OFT that it and Barclays engaged in anti-competitive actions by sharing confidential future pricing information for their loan products offered to large professional services firms. Barclays brought the matter to the OFT's attention and was granted immunity to a fine under the leniency policy.
agency action
Settlement with OFT
UK-OFT
Office of Fair Trading
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://www.gov.uk/cma-cases/loan-products-to-professional-service-firms-investigation-into-anti-competitive-practices
UK21-51905
Alliance and Leicester Personal Finance Limited
Banco Santander
Banco Santander
0
2010
20101122
consumer-protection-related offences
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The OFT imposed requirements on Alliance and Leicester Personal Finance Limited, American Express Services Europe Limited, HFC Bank Limited (part of the HSBC Group) and Welcome Financial Services Limited (part of Cattles plc) to address concerns the banks were using charging orders (a court order that secures the debtor's property for payment of a debt) in a fashion that was unfair, in breach of the Consumer Credit Act.
agency action
UK-OFT
Office of Fair Trading
Spain
publicly traded
financial services
banking
ES0113900J37
https://webarchive.nationalarchives.gov.uk/20131101173724/http://oft.gov.uk/news-and-updates/press/2010/119-10
UK21-51914
American Express Services Europe Limited
American Express
American Express
0
2010
20101122
consumer-protection-related offences
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The OFT imposed requirements on Alliance and Leicester Personal Finance Limited, American Express Services Europe Limited, HFC Bank Limited (part of the HSBC Group) and Welcome Financial Services Limited (part of Cattles plc) to address concerns the banks were using charging orders (a court order that secures the debtor's property for payment of a debt) in a fashion that was unfair, in breach of the Consumer Credit Act.
agency action
UK-OFT
Office of Fair Trading
United States
publicly traded
financial services
financial services
US0258161092
https://webarchive.nationalarchives.gov.uk/20131101173724/http://oft.gov.uk/news-and-updates/press/2010/119-10
UK21-51915
Standard Chartered Bank
Standard Chartered
Standard Chartered
20471810
2020
20200218
financial offences
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breaches of Article 5(3) of EU Council Regulation 833/2014 and Regulation 3B of The Ukraine (European Union Financial Sanctions) (No.3) Regulations 2014. The first penalty amount is £7,693,233; the second penalty amount is £12,778,576, for a total penalty value of £20,471,810.
agency action
UK-OFSI
Office of Financial Sanctions Implementation
United Kingdom
publicly traded
financial services
banking
GB0004082847
https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/876971/200331_-_SCB_Penalty_Report.pdf
UK21-51934
Mastercard
MasterCard
MasterCard
31560062
2022
20220118
competition-related offences
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Mastercard and four other payments companies were fined a total of £33 million by the Payment Systems Regulator for engaging in anti-competitive behaviour by agreeing not to compete or poach each other's clients. tps://www.paymentscardsandmobile.com/payment-systems-regulator-names-mastercard-in-pre-paid-card-cartel/
agency action
UK-PSR
Payment Systems Regulator
United States
publicly traded
financial services
financial services
US57636Q1040
https://www.psr.org.uk/news-updates/latest-news/news/the-psr-fines-five-companies-more-than-33-million-for-cartel-behaviour-in-the-prepaid-cards-market/
UK21-52105
Goldman Sachs International
Goldman Sachs
Goldman Sachs
48308400
2020
20201022
financial offences
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The PRA said it took action in light of GSI's failings arising from its involvement as arranger, initial purchaser and underwriter in three bond transactions in 2012 and 2013 for 1Malaysia Development Berhad (1MDB), a strategic investment and development company wholly-owned by the Malaysian government. The PRA stated that GSI failed to assess and manage risk to the heightened standard that was required of it.
agency action
UK-PRA
Prudential Regulation Authority
United States
publicly traded
financial services
banking & securities
US38141G1040
https://www.bankofengland.co.uk/-/media/boe/files/prudential-regulation/regulatory-action/final-notice-to-goldman-sachs-international.pdf?la=en&hash=0905E04952BFE7C4B05B7AFBB11467F21A069E3F
UK21-52354
Citigroup Global Markets Limited, Citibank N.A. London branch and Citibank Europe Plc UK branch
Citigroup
Citigroup
43890000
2019
20191126
financial offences
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During the Relevant Period, according to the PRA, the three entities breached Fundamental Rule 6 because they failed to organise and control their affairs responsibly and effectively to ensure that they complied with their UK regulatory reporting obligations.
agency action
UK-PRA
Prudential Regulation Authority
United States
publicly traded
financial services
banking & securities
US1729674242
https://www.bankofengland.co.uk/-/media/boe/files/news/2019/november/pra-decision-notice-citigroup.pdf?la=en&hash=4030FC4D482DF4C330A367A7A1A97E4649FB2968
UK21-52355
Bank of Tokyo Mitsubishi UFJ Limited
Mitsubishi UFJ Financial Group
Mitsubishi UFJ Financial Group
17850000
2017
20170209
financial offences
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The PRA found that BTMU breached Fundamental Rule 6 by falling to organise and control its affairs responsibly and effectively in respect of its handling of information relating to its settlement with the New York Department of Financial Services, which was publicly announced on 18 November 2014 and resulted in a USD 315,000,000 penalty. In particular, BTMU failed to put in place appropriate procedures, policies, systems and controls for the communication of relevant information relating to the matter within BTMU and the Mitsubishi UFJ Financial Group, of which it was a subsidiary.
agency action
UK-PRA
Prudential Regulation Authority
Japan
publicly traded
financial services
banking
XS2132337697
https://www.bankofengland.co.uk/-/media/boe/files/prudential-regulation/enforcement-notice/en090217.pdf?la=en&hash=58442B59B07D7F5FB9A14CCD51224BE338BD0CF5
UK21-52357
MUFG Securities EMEA plc
Mitsubishi UFJ Financial Group
Mitsubishi UFJ Financial Group
8925000
2017
20170209
financial offences
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The PRA found that MUFG Securities breached Fundamental Rule 7 by failing to be open and cooperative with the PRA in respect of the potential implications of a settlement reached by Bank of Tokyo Mitsubishi UFJ Limited with the New York State Department of Financial Services. Bank of Tokyo Mitsubishi UFJ Limited, which like MUFG Securities was a subsidiary of Mitsubishi UFJ Financial Group, was also penalised (see separate entry).
agency action
UK-PRA
Prudential Regulation Authority
Japan
publicly traded
financial services
banking
XS2132337697
https://www.bankofengland.co.uk/-/media/boe/files/prudential-regulation/enforcement-notice/en090217.pdf?la=en&hash=58442B59B07D7F5FB9A14CCD51224BE338BD0CF5
UK21-52358
Co-operative Bank Plc
Co-operative Bank
Co-operative Bank
0
2015
20150811
financial offences
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The PRA found Co-op Bank's control framework to be flawed both in design and operation, and found inadequacies in the firm's risk management framework policies and in its capital management and corporate lending policies and procedures. This meant that the firm did not adequately consider the level of risk it assumed and therefore did not have the capability to manage that risk. This in turn had the potential to weaken the firm and reduce its resilience. The PRA also found deficiencies in the management information which the firm produced. These deficiencies led to the Co-op Bank's Board not being appropriately apprised of key issues, which hampered its ability to manage the business effectively. The PRA considered these breaches by Co-op Bank to be sufficiently serious to warrant a substantial financial penalty. However the PRA concluded that imposing a financial penalty on Co-op Bank would not advance the PRA's statutory objective to promote the safety and soundness of the firms it regulates. The PRA said it would otherwise have imposed a financial penalty of around £120 million on Co-op Bank.
agency action
UK-PRA
Prudential Regulation Authority
United Kingdom
privately held
financial services
banking
https://www.bankofengland.co.uk/news/2015/august/pra-censures-cooperative-bank-for-serious-risk-management-and-transparency-failings
UK21-52362
Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd.
NatWest Group PLC
NatWest Group PLC
14000000
2014
20141120
financial offences
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The Prudential Regulation Authority fined Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd £14 million for inadequate systems and controls which led to a serious IT incident in 2012.
agency action
UK-PRA
Prudential Regulation Authority
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://www.bankofengland.co.uk/news/2014/november/pra-fines-rbs-natwest-and-ulster-bank
UK21-52363
Lloyds Banking Group
Lloyds Banking Group
Lloyds Banking Group
7760000
2014
20140728
financial offences
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Lloyds Banking Group paid the Bank of England £7.76 million in compensation for the reduction in the amount of Special Liquidity Scheme (SLS) fees received by the Bank as a result of manipulation by Lloyds Bank and Bank of Scotland of submissions to the BBA GBP Repo Rate.
agency action
UK-PRA
Prudential Regulation Authority
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.bankofengland.co.uk/news/2014/july/boe-statement-on-fca-enforcement-action-against-lloyds-bank-and-bank-of-scotland
UK21-52364
Drax Generation Enterprise Limited
Vitol
Drax Group PLC
Vitol purchased Drax Generation in 2021
Aberdeen
Scotland
600
2019
20190823
environment-related offences
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Fixed monetary penalty for failure to comply with a condition of a permit
agency action
UK-SEPA
Scottish Environment Protection Agency
Switzerland
privately held
financial services
energy and commodity trading
https://www.sepa.org.uk/regulations/enforcement/penalties-imposed-and-undertakings-accepted/
UK21-52372
Drax Generation Enterprise Limited
Vitol
Drax Group PLC
Vitol purchased Drax Generation in 2021
Aberdeen
Scotland
600
2019
20190823
environment-related offences
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Fixed monetary penalty for failure to comply with a condition of a permit
agency action
UK-SEPA
Scottish Environment Protection Agency
Switzerland
privately held
financial services
energy and commodity trading
https://www.sepa.org.uk/regulations/enforcement/penalties-imposed-and-undertakings-accepted/
UK21-52373
ICBC Standard Bank Plc
Industrial and Commercial Bank of China
Industrial and Commercial Bank of China
21730000
2015
20151130
competition-related offences
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The Serious Fraud Office's first application for a Deferred Prosecution Agreement was approved by Lord Justice Leveson at Southwark Crown Court, sitting at the Royal Courts of Justice. The counterparty to the DPA, Standard Bank Plc (now known as ICBC Standard Bank Plc), was the subject of an indictment alleging failure to prevent bribery contrary to section 7 of the Bribery Act 2010. This indictment, pursuant to DPA proceedings, was immediately suspended. As a result of the DPA, Standard Bank was to pay financial orders of US$25.2 million and was required to pay the Government of Tanzania a further US$7 million in compensation. The bank also agreed to pay the SFO's reasonable costs of £330,000 in relation to the investigation and subsequent resolution of the DPA.
agency action
deferred prosecution agreement
UK-SFO
Serious Fraud Office
China
publicly traded
financial services
banking
CNE1000003G1
https://www.sfo.gov.uk/2015/11/30/sfo-agrees-first-uk-dpa-with-standard-bank/
The U.S. dollar amounts in the penalty order are converted to pounds in the penalty amount above.
UK21-52470
Mercer Limited, in its capacity as administrator of the Scheme
Marsh & McLennan
Marsh & McLennan
500
2021
20210525
employment-related offences
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Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/decision/2021/po-20989/gkn-group-pension-scheme-no2-po-20989
UK21-52485
HBOS plc
Lloyds Banking Group
Lloyds Banking Group
500
2021
20210423
employment-related offences
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Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.pensions-ombudsman.org.uk/decision/2021/po-39957/hbos-final-salary-pension-scheme-po-39957
UK21-52487
Aviva
Aviva PLC
Aviva PLC
1000
2021
20210419
employment-related offences
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Benefits: Incorrectly Calculated
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2021/cas-42431-g2m7/aviva-pension-plan-cas-42431-g2m7
UK21-52488
Aviva Life
Aviva PLC
Aviva PLC
1000
2021
20210407
employment-related offences
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Benefits: refusal/failure to pay or late payment
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2021/po-25364/rmjm-partners-retirement-benefits-and-life-insurance-scheme-po-25364
UK21-52489
Aviva Life and Pensions UK Limited
Aviva PLC
Aviva PLC
250
2021
20210323
employment-related offences
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Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2021/cas-30129-v8b7/aviva-new-generation-personal-pension-scheme-cas-30129-v8b7
UK21-52491
Legal & General
Legal & General Group PLC
Legal & General Group PLC
250
2021
20210323
employment-related offences
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Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
asset management
GB0005603997
https://www.pensions-ombudsman.org.uk/decision/2021/cas-30129-v8b7/aviva-new-generation-personal-pension-scheme-cas-30129-v8b7
UK21-52492
ReAssure Limited
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
400
2021
20210111
employment-related offences
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Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2021/cas-38962-p9m1/reassure-limited-previously-legal-and-general-section-32-buy-out-plan
UK21-52496
Aon UK Limited (Aon) & Barnett Waddingham LLP (Barnett Waddingham)
Aon
Aon
0
2020
20201210
employment-related offences
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Divorce
agency action
UK-TPO
The Pensions Ombudsman
Ireland
publicly traded
financial services
insurance
IE00BLP1HW54
https://www.pensions-ombudsman.org.uk/decision/2020/po-28860/london-clubs-limited-pension-scheme-po-28860
no amount specified
UK21-52497
Willis Towers Watson
Willis Towers Watson
Willis Towers Watson
25522
2020
20201208
employment-related offences
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Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
IE00BDB6Q211
https://www.pensions-ombudsman.org.uk/decision/2020/po-21110/lloyds-bank-pension-scheme-no-2-po-21110
UK21-52499
AJ Bell Self Invested Personal Pension
AJ Bell PLC
AJ Bell PLC
575
2020
20201111
employment-related offences
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Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
investor services
GB00BFZNLB60
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-28015.pdf
UK21-52505
Hargreaves Lansdown Asset Management Limited
Hargreaves Lansdown PLC
Hargreaves Lansdown PLC
250
2020
20201027
employment-related offences
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Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
investment services
GB00B1VZ0M25
https://www.pensions-ombudsman.org.uk/decision/2020/cas-37002-t3n7/your-tomorrow-pension-scheme-cas-37002-t3n7
UK21-52509
Willis Towers Watson
Willis Towers Watson
Willis Towers Watson
500
2020
20201027
employment-related offences
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Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
IE00BDB6Q211
https://www.pensions-ombudsman.org.uk/decision/2020/cas-37002-t3n7/your-tomorrow-pension-scheme-cas-37002-t3n7
UK21-52510
Prudential
Prudential PLC
Prudential PLC
7238
2020
20201009
employment-related offences
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Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0007099541
https://www.pensions-ombudsman.org.uk/decision/2020/po-28558/prudential-retirement-account-po-28558
UK21-52515
JLT Benefit Solutions Ltd
Marsh & McLennan
Jardine Lloyd Thompson Group
Marsh & McLennan acquired JLT in 2019.
1000
2020
20201006
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/decision/2020/cas-32468-h7m3/santander-uk-group-pension-scheme-cas-32468-h7m3
UK21-52518
Willis Towers Watson and The Trustee of the Honeywell UK Pension Scheme
Willis Towers Watson
Willis Towers Watson
1000
2020
20200909
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Other
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
IE00BDB6Q211
https://www.pensions-ombudsman.org.uk/decision/2020/po-26272/honeywell-uk-pension-scheme-po-26272
UK21-52521
Phoenix Life
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
0
2020
20200625
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2020/po-15070/npi-section-32-buy-out-policy-po-15070
UK21-52537
Willis Towers Watson
Willis Towers Watson
Willis Towers Watson
500
2020
20200619
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: overpayment (recovery of)
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
IE00BDB6Q211
https://www.pensions-ombudsman.org.uk/decision/2020/po-24254/hsbc-bank-uk-pension-scheme-po-24254
UK21-52542
Phoenix Life Assurance Ltd.
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
2000
2020
20200429
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2020/po-17462/communication-managers-association-retirement-benefits-scheme-po-17462
UK21-52551
Scottish Widows
Lloyds Banking Group
Lloyds Banking Group
500
2020
20200417
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: missing
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.pensions-ombudsman.org.uk/decision/2020/po-27384/price-tool-sales-limited-retirement-benefit-scheme-po-27384
UK21-52554
ReAssure Limited
Phoenix Group Holdings PLC
Swiss Re
Phoenix Group acquired ReAssure from Swiss Re later in 2020.
1000
2020
20200319
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2020/po-21509/reassure-personal-pension-plan-po-21509
UK21-52565
Just Retirement Limited
Just Group PLC
Just Group PLC
500
2020
20200316
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Administration
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
retirement services
GB00BCRX1J15
https://www.pensions-ombudsman.org.uk/decision/2020/po-29609/just-annuity-policy-po-29609
UK21-52567
RBS Retirement Savings Trustee Limited
NatWest Group PLC
NatWest Group PLC
500
2020
20200312
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://www.pensions-ombudsman.org.uk/decision/2020/po-18043/rbs-retirement-benefit-plan-po-18043
UK21-52571
Aviva
Aviva PLC
Aviva PLC
500
2020
20200224
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2020/cas-30346-l9m7/sun-life-flexible-pension-plan-cas-30346-l9m7
UK21-52577
Trustees of the Aviva Staff Pension Scheme
Aviva PLC
Aviva PLC
1000
2019
20191219
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2019/po-25673/aviva-staff-pension-scheme-po-25673
UK21-52589
Lloyds Bank Plc
Lloyds Banking Group
Lloyds Banking Group
1000
2019
20191218
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: Incorrectly Calculated
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.pensions-ombudsman.org.uk/decision/2019/po-16883/lloyds-bank-pension-scheme-no-2-po-16883
UK21-52590
Aon Hewitt Ltd
Aon
Aon
3000
2019
20191218
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
Ireland
publicly traded
financial services
insurance
IE00BLP1HW54
https://www.pensions-ombudsman.org.uk/decision/2019/po-28373/mars-associates-retirement-plan-po-28373
UK21-52591
Willis Towers Watson
Willis Towers Watson
Willis Towers Watson
0
2019
20191215
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
IE00BDB6Q211
https://www.pensions-ombudsman.org.uk/decision/2019/po-21111/hsbc-uk-pension-scheme-po-21111
UK21-52593
HSBC Pension Trust (UK) Ltd
HSBC
HSBC
1000
2019
20191210
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0005405286
https://www.pensions-ombudsman.org.uk/decision/2019/po-23025/hsbc-bank-uk-pension-scheme-po-23025
UK21-52597
JLT Benefit Solutions Limited
Marsh & McLennan
Marsh & McLennan
1000
2019
20191024
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-21046.pdf
UK21-52604
Skipton Building Society and Skipton Pension Trustees Limited
Skipton Building Society
Skipton Building Society
1000
2019
20191017
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
mutual
financial services
financial and real estate services
https://www.pensions-ombudsman.org.uk/decision/2019/po-24165/skipton-building-society-2015-group-pension-scheme-po-24165
UK21-52606
Aviva
Aviva PLC
Aviva PLC
5549
2019
20190911
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-20880.pdf
UK21-52609
Aviva
Aviva PLC
Aviva PLC
600
2019
20190816
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: refusal/failure to pay or late payment
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-39330.pdf
UK21-52612
Aviva
Aviva PLC
Aviva PLC
1100
2019
20190801
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2019/po-25071/rainbow-plus-personal-pension-plan-1995-po-25071
UK21-52614
Prudential
Prudential PLC
Prudential PLC
1000
2019
20190729
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0007099541
https://www.pensions-ombudsman.org.uk/decision/2019/po-22236/prudential-personal-pension-scheme-po-22236
UK21-52616
Prudential
Prudential PLC
Prudential PLC
500
2019
20190524
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0007099541
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-25561.pdf
UK21-52631
Aviva
Aviva PLC
Aviva PLC
500
2019
20190516
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-16693.pdf
UK21-52632
Mercer Limited (Mercer)
Marsh & McLennan
Marsh & McLennan
1000
2019
20190508
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Administration
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-15840.pdf
UK21-52635
Aviva
Aviva PLC
Aviva PLC
1075
2019
20190329
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-22362.pdf
UK21-52638
Aon Hewitt Ltd
Aon
Aon
2000
2019
20190329
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
Ireland
publicly traded
financial services
insurance
IE00BLP1HW54
https://www.pensions-ombudsman.org.uk/decision/2019/po-21294/ge-pension-plan-po-21294
UK21-52639
Scottish Widows Limited
Lloyds Banking Group
Lloyds Banking Group
1000
2019
20190326
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Administration
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-14071.pdf
UK21-52641
Phoenix Life (Phoenix)
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
500
2019
20190326
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2019/po-20255/phoenix-life-personal-retirement-account-po-20255
UK21-52642
Willis Towers Watson and Lloyds Banking Group Pensions Trustees Limited
Willis Towers Watson
Willis Towers Watson
1000
2019
20190326
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
IE00BDB6Q211
https://www.pensions-ombudsman.org.uk/decision/2019/po-22732/lloyds-bank-pension-scheme-no1-po-22732
UK21-52643
St James's Place Wealth Management
St. James's Place PLC
St. James's Place PLC
1000
2019
20190319
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
wealth management
GB0007669376
https://www.pensions-ombudsman.org.uk/decision/2019/po-20414/sjp-wealth-account-po-20414
UK21-52650
Phoenix Life
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
2000
2019
20190308
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2019/po-24307/phoenix-life-personal-pension-plan-policy-no-2311083j-po-24307
UK21-52667
Royal London
Royal London Mutual Insurance
Royal London Mutual Insurance
0
2019
20190228
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: Incorrectly Calculated
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
mutual
financial services
insurance
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-14648.pdf
no amount specified
UK21-52668
Phoenix Life Assurance Ltd
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
500
2019
20190205
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-22625.pdf
UK21-52673
Prudential
Prudential PLC
Prudential PLC
1000
2019
20190116
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0007099541
https://www.pensions-ombudsman.org.uk/decision/2019/po-23318/scottish-amicable-omnipension-plan-po-23318
UK21-52680
Allianz Pension Fund Trustees Limited
Allianz
Allianz
1000
2019
20190110
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
Germany
publicly traded
financial services
insurance
DE0008404005
https://www.pensions-ombudsman.org.uk/decision/2019/po-18491/allianz-retirement-and-death-benefits-fund-po-18491
UK21-52681
Legal & General Assurance Society Limited
Legal & General Group PLC
Legal & General Group PLC
500
2019
20190110
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
asset management
GB0005603997
https://www.pensions-ombudsman.org.uk/decision/2019/po-24551/burlington-international-group-pension-scheme-po-24551
UK21-52682
Scottish Widows
Lloyds Banking Group
Lloyds Banking Group
500
2018
20181218
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.pensions-ombudsman.org.uk/decision/2018/po-20909/maxwell-drummond-group-pension-scheme-po-20909
UK21-52686
Friends Life
Aviva PLC
Aviva PLC
500
2018
20181214
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2018/po-13053/curtis-banks-sipp-po-13053
UK21-52690
Scottish Equitable plc (AEGON)
Aegon
Aegon
0
2018
20181109
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
Netherlands
publicly traded
financial services
insurance
NL0000303709
https://www.pensions-ombudsman.org.uk/decision/2018/po-20159/aegon-personal-pension-scheme-po-20159
no amount specified
UK21-52697
The Royal Bank of Scotland Group PLC
NatWest Group PLC
NatWest Group PLC
0
2018
20181017
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://www.pensions-ombudsman.org.uk/decision/2018/po-18412-po-18521/royal-bank-scotland-group-pension-fund-po-18412-po-18521
no amount specified
UK21-52703
Aegon
Aegon
Aegon
100
2018
20180918
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
Netherlands
publicly traded
financial services
insurance
NL0000303709
https://www.pensions-ombudsman.org.uk/decision/2018/po-19456/sunar-inc-retirement-death-benefit-scheme-po-19456
UK21-52708
Aviva
Aviva PLC
Aviva PLC
500
2018
20180918
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2018/po-19084/aviva-group-personal-pension-plan-po-19084
UK21-52709
Alliance Trust
Alliance Trust PLC
Alliance Trust PLC
500
2018
20180910
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
investment trust
GB00B11V7W98
https://www.pensions-ombudsman.org.uk/decision/2018/po-20728/alliance-trust-savings-po-20728
UK21-52714
Royal London Group
Royal London Mutual Insurance
Royal London Mutual Insurance
500
2018
20180821
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
mutual
financial services
insurance
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-19400.pdf
UK21-52719
JLT Benefits Solutions Limited
Marsh & McLennan
Jardine Lloyd Thompson Group
Marsh & McLennan acquired JLT in 2019.
1000
2018
20180731
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/decision/2018/po-6325/g4s-pension-scheme-po-6325
UK21-52721
Phoenix Life Limited
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
500
2018
20180719
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-13950.pdf
UK21-52724
A J Bell Limited
AJ Bell PLC
AJ Bell PLC
Parent was AJ Bell Holding Limited until become a public listed company later in 2018.
6000
2018
20180629
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
investor services
GB00BFZNLB60
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-12332.pdf
UK21-52726
AJ Bell Management Limited
AJ Bell PLC
AJ Bell PLC
Parent was AJ Bell Holding Limited until become a public listed company later in 2018.
0
2018
20180629
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
investor services
GB00BFZNLB60
https://www.pensions-ombudsman.org.uk/decision/2018/po-18953/mr-t-sippcentre-sipp-po-18953
no amount specified
UK21-52727
AJ Bell Investcentre
AJ Bell PLC
AJ Bell PLC
Parent was AJ Bell Holding Limited until become a public listed company later in 2018.
0
2018
20180605
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
investor services
GB00BFZNLB60
https://www.pensions-ombudsman.org.uk/decision/2018/po-16596/aj-bell-investcentre-sipp-po-16596
UK21-52734
AJ Bell Investcentre
AJ Bell PLC
AJ Bell PLC
Parent was AJ Bell Holding Limited until become a public listed company later in 2018.
0
2018
20180605
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
investor services
GB00BFZNLB60
https://www.pensions-ombudsman.org.uk/decision/2018/po-11843/aj-bell-sipp-sipp-and-bmw-uk-operations-pension-scheme-po-11843
UK21-52735
Aon Hewitt Limited
Aon
Aon
250
2018
20180525
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: Incorrectly Calculated
agency action
UK-TPO
The Pensions Ombudsman
Ireland
publicly traded
financial services
insurance
IE00BLP1HW54
https://www.pensions-ombudsman.org.uk/decision/2018/po-17040/henry-butcher-pension-fund-and-life-assurance-scheme-po-17040
UK21-52737
Prudential
Prudential PLC
Prudential PLC
250
2018
20180525
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: Incorrectly Calculated
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0007099541
https://www.pensions-ombudsman.org.uk/decision/2018/po-17040/henry-butcher-pension-fund-and-life-assurance-scheme-po-17039
UK21-52738
AJ Bell Investcentre (owned by AJ Bell Limited)
AJ Bell PLC
AJ Bell PLC
Parent was AJ Bell Holding Limited until become a public listed company later in 2018.
500
2018
20180320
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Administration
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
investor services
GB00BFZNLB60
https://www.pensions-ombudsman.org.uk/decision/2018/po-17409/aj-bell-investcentre-self-invested-personal-pension-po-17409
UK21-52756
Hargreaves Lansdown Asset Management Limited
Hargreaves Lansdown PLC
Hargreaves Lansdown PLC
500
2018
20180320
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: Incorrectly Calculated
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
investment services
GB00B1VZ0M25
https://www.pensions-ombudsman.org.uk/decision/2018/po-11408/hargreaves-lansdown-capped-drawdown-sipp-po-11408
UK21-52757
Mercer Ltd.
Marsh & McLennan
Marsh & McLennan
0
2018
20180320
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Membership
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/decision/2018/po-5617/malcolm-group-staff-pension-scheme-po-5617
UK21-52758
Zurich Assurance Limited
Zurich Insurance
Zurich Insurance
0
2018
20180316
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
Switzerland
publicly traded
financial services
insurance
CH0011075394
https://www.pensions-ombudsman.org.uk/decision/2018/po-15526/zurich-personal-pension-plan-po-15526
no amount specified
UK21-52761
Phoenix Life
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
0
2018
20180316
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2018/po-16570/phoenix-life-personal-pension-po-16570
UK21-52765
AJ Bell Investcentre
AJ Bell PLC
AJ Bell PLC
Parent was AJ Bell Holding Limited until become a public listed company later in 2018.
500
2018
20180308
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
investor services
GB00BFZNLB60
https://www.pensions-ombudsman.org.uk/decision/2018/po-17946/aj-bell-investcentre-sipp-po-17946
UK21-52766
Prudential
Prudential PLC
Prudential PLC
0
2017
20171221
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Contributions: Incorrect Calculation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0007099541
https://www.pensions-ombudsman.org.uk/decision/2017/po-15311/prudential-personal-plan-po-15311
no amount specified
UK21-52782
JLT Benefits Solutions Limited
Marsh & McLennan
Jardine Lloyd Thompson Group
Marsh & McLennan acquired JLT in 2019.
500
2017
20171212
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Post retirement increases (escalation): RPI/CPI
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/decision/2017/po-13742/cmg-uk-pension-scheme-po-13742
UK21-52784
Aviva
Aviva PLC
Aviva PLC
500
2017
20171103
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2017/po-15060/kepston-retirement-benefit-scheme-scheme-defined-contribution-scheme
UK21-52793
Standard Life
Phoenix Group Holdings PLC
Abrdn PLC
Phoenix Group acquired the Standard Life business from Standard Life Aberdeen (later renamed Abrdn) in 2018.
750
2017
20171102
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-12883.pdf
UK21-52795
Friends Life
Aviva PLC
Aviva PLC
500
2017
20171026
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2017/po-17643/friends-life-personal-pension-plan-po-17643
UK21-52797
Aviva
Aviva PLC
Aviva PLC
1000
2017
20171019
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2017/po-13538/aviva-section-32-policy-po-13538
UK21-52802
Friends Life
Aviva PLC
Aviva PLC
0
2017
20170918
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2017/po-12372/friends-life-sipp-po-12372
UK21-52812
Friends Life
Aviva PLC
Aviva PLC
1000
2017
20170728
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2017/po-15024/davies-implements-ltd-self-administered-scheme-po-15024
UK21-52820
ReAssure Ltd (ReAssure)
Phoenix Group Holdings PLC
Swiss Re
Phoenix Group acquired ReAssure from Swiss Re in 2020.
500
2017
20170718
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2017/po-14899/hsbc-uk-pension-scheme-po-14899
UK21-52826
ReAssure Ltd
Phoenix Group Holdings PLC
Swiss Re
Phoenix Group acquired ReAssure from Swiss Re in 2020.
500
2017
20170718
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2017/po-14900/hsbc-uk-pension-scheme-po-14900
UK21-52827
AJ Bell and Legal & General Assurance Society
AJ Bell PLC
AJ Bell PLC
Parent was AJ Bell Holding Limited until become a public listed company in 2018.
0
2017
20170630
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
investor services
GB00BFZNLB60
https://www.pensions-ombudsman.org.uk/decision/2017/po-8550/legal-general-stakeholder-pension-plan-po-8550
UK21-52830
Friends Life Limited
Aviva PLC
Aviva PLC
1000
2017
20170627
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2017/po-9935/friends-life-po-9935
UK21-52832
HSBC Bank Pension Trust (UK) Limited
HSBC
HSBC
1000
2017
20170516
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0005405286
https://www.pensions-ombudsman.org.uk/decision/2017/po-14768/hsbc-bank-pension-scheme-po-14768
UK21-52840
Friends Life
Aviva PLC
Aviva PLC
500
2017
20170516
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2017/po-10904/friends-life-retirement-and-death-benefits-scheme-po-10904
UK21-52841
AJ Bell Ltd
AJ Bell PLC
AJ Bell PLC
Parent was AJ Bell Holding Limited until become a public listed company in 2018.
0
2017
20170516
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
investor services
GB00BFZNLB60
https://www.pensions-ombudsman.org.uk/decision/2017/po-10832/aj-bell-sippcentre-sipp-po-10832
UK21-52842
National Australia Bank
National Australia Bank
National Australia Bank
500
2017
20170330
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
Australia
publicly traded
financial services
banking
AU000000NAB4
https://www.pensions-ombudsman.org.uk/decision/2017/po-12899/yorkshire-and-clydesdale-bank-pension-scheme-po-12899
UK21-52858
Prudential
Prudential PLC
Prudential PLC
2727
2017
20170322
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: missing
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0007099541
https://www.pensions-ombudsman.org.uk/decision/2017/po-8517/shipbuilding-industries-pension-scheme-and-prudential-personal-pension-plan
UK21-52861
Lloyds Banking Group
Lloyds Banking Group
Lloyds Banking Group
500
2017
20170203
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.pensions-ombudsman.org.uk/decision/2017/po-8518/your-tomorrow-pension-scheme-po-8518
UK21-52875
Phoenix Life Limited
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
1000
2017
20170131
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Liberation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2017/po-5424/phoenix-life-retirement-annuity-policies-vf14123g-and-vf14673e-po-5424
UK21-52877
Phoenix Life Limited
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
0
2017
20170131
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: refusal/failure to pay or late payment
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-3824.pdf
no amount specified
UK21-52880
Phoenix Life Limited
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
1000
2017
20170131
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2017/po-4918/phoenix-life-retirement-annuity-policies-vf14124f-and-vf14674d-po-4918
UK21-52881
Barclays Bank
Barclays
Barclays
0
2017
20170119
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.pensions-ombudsman.org.uk/decision/2017/po-9253/barclays-bank-uk-retirement-fund-po-9253
no amount specified
UK21-52882
Prudential
Prudential PLC
Prudential PLC
0
2017
20170111
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0007099541
https://www.pensions-ombudsman.org.uk/decision/2017/po-2747/principal-civil-service-pension-scheme-po-2747
UK21-52886
Barclays Wealth Management
Barclays
Barclays
1000
2016
20161118
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Administration
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.pensions-ombudsman.org.uk/decision/2016/po-8348/burlaw-retirement-benefits-scheme-po-8348
UK21-52898
Barclays Stockbrokers Limited
Barclays
Barclays
750
2016
20161111
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-12355-2.pdf
UK21-52901
Abbey Life
Phoenix Group Holdings PLC
Deutsche Bank
Phoenix Group acquired Abbey Life from Deutsche Bank later in 2016.
4893
2016
20161104
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2016/po-12659/gt-die-pension-plan-po-12659
UK21-52904
Phoenix Life Limited
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
300
2016
20161010
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-13471.pdf
UK21-52907
Aviva Staff Trustee Limited
Aviva PLC
Aviva PLC
300
2016
20160927
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2016/po-10107/aviva-staff-pension-scheme-po-10107
UK21-52911
Prudential
Prudential PLC
Prudential PLC
0
2016
20160927
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions; penalty not specified
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0007099541
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-12562.pdf
UK21-52913
Prudential
Prudential PLC
Prudential PLC
500
2016
20160921
employment-related offences
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Benefits: Incorrectly Calculated
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0007099541
https://www.pensions-ombudsman.org.uk/decision/2016/po-7995/data-general-ltd-employee-benefits-plan-po-7995-po-7995
UK21-52914
Royal London
Royal London Mutual Insurance
Royal London Mutual Insurance
500
2016
20160908
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Administration
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
mutual
financial services
insurance
https://www.pensions-ombudsman.org.uk/decision/2016/po-9017/royal-london-personal-pension-plan-po-9017
UK21-52917
Scottish Widows plc
Lloyds Banking Group
Lloyds Banking Group
500
2016
20160802
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: Incorrectly Calculated
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-9526.pdf
UK21-52921
Aviva
Aviva PLC
Aviva PLC
1990
2016
20160729
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-7401.pdf
UK21-52922
Aegon
Aegon
Aegon
100
2016
20160704
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: Incorrectly Calculated
agency action
UK-TPO
The Pensions Ombudsman
Netherlands
publicly traded
financial services
insurance
NL0000303709
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-9218.pdf
UK21-52928
Hargreaves Lansdown Asset Management Limited
Hargreaves Lansdown PLC
Hargreaves Lansdown PLC
0
2016
20160602
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
investment services
GB00B1VZ0M25
https://www.pensions-ombudsman.org.uk/decision/2016/po-10413/hargreaves-lansdown-vantage-sipp-po-10413
no amount specified
UK21-52937
Aegon
Aegon
Aegon
1199
2016
20160602
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
Netherlands
publicly traded
financial services
insurance
NL0000303709
https://www.pensions-ombudsman.org.uk/decision/2016/po-7334/aegon-sipp-po-7334
UK21-52940
Friends Life
Aviva PLC
Aviva PLC
950
2016
20160602
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2016/po-9743/friends-life-personal-pension-plan-po-9743
UK21-52941
AJ Bell Management Ltd
AJ Bell PLC
AJ Bell PLC
Parent was AJ Bell Holding Limited until become a public listed company in 2018.
1000
2016
20160525
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
investor services
GB00BFZNLB60
https://www.pensions-ombudsman.org.uk/decision/2016/po-7864/aj-bell-sipp-po-7864
UK21-52942
Allianz
Allianz
Allianz
500
2016
20160309
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: Incorrectly Calculated
agency action
UK-TPO
The Pensions Ombudsman
Germany
publicly traded
financial services
insurance
DE0008404005
https://www.pensions-ombudsman.org.uk/decision/2016/po-6130/allianz-cornhill-retirement-death-benefits-fund-po-6130
UK21-52947
Abbey Life Assurance Company Limited
Phoenix Group Holdings PLC
Deutsche Bank
Phoenix Group acquired Abbey Life from Deutsche Bank later in 2016.
8353
2015
20151028
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2015/po-569/paine-webber-uk-pension-plan-po-569
UK21-52952
Towers Watson Limited
Willis Towers Watson
Towers Watson & Co.
Willis Towers Watson was formed by the merger of Willis Group and Towers Watson in 2016.
750
2015
20151028
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
IE00BDB6Q211
https://www.pensions-ombudsman.org.uk/decision/2015/po-569/paine-webber-uk-pension-plan-po-569
UK21-52953
Standard Life
Phoenix Group Holdings PLC
Standard Life
Standard Life Merged with Aberdeen Asset Management in 2017, becoming Standard Life Aberdeen (later renamed Abrdn). Phoenix Group acquired the Standard Life business from Standard Life Aberdeen in 2018.
3395
2015
20150721
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-6284.pdf
UK21-52962
AXA Wealth
Phoenix Group Holdings PLC
AXA
Phoenix Group acquired AXA Wealth Services from AXA in 2017.
50
2015
20150529
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2015/po-2447/axa-retirement-wealth-account-po-2447
UK21-52969
St James' Place Wealth Management
St. James's Place PLC
St. James's Place PLC
50
2015
20150529
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
wealth management
GB0007669376
https://www.pensions-ombudsman.org.uk/decision/2015/po-2447/axa-retirement-wealth-account-po-2447
UK21-52970
Prudential Assurance Company Limited
M&G PLC
Prudential plc
Prudential changed holding company and name to M&G Prudential in 2018, and in 2019 split into Prudential plc and M&G plc, with Prudential Assurance Co. a subsidiary of M&G.
0
2015
20150417
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Liberation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
asset management
GB00BKFB1C65
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-3590.pdf
no amount specified
UK21-52977
Phoenix Life Limited
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
0
2015
20150330
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-2931.pdf
no amount specified
UK21-52981
Fidelity Investments
Fidelity Investments
Fidelity Investments
100
2015
20150324
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United States
privately held
financial services
financial services
https://www.pensions-ombudsman.org.uk/decision/2015/po-4956/fidelity-sipp-po-4956
UK21-52987
Towers Watson
Willis Towers Watson
Towers Watson & Co.
Willis Towers Watson was formed by the merger of Willis Group and Towers Watson in 2016.
100
2015
20150324
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
IE00BDB6Q211
https://www.pensions-ombudsman.org.uk/decision/2015/po-4956/fidelity-sipp-po-4956
UK21-52988
Friends Life
Aviva PLC
Friends Life Group
Friends Life Group was acquired by Aviva later in 2015.
100
2015
20150318
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2015/po-5416/friends-life-personal-pension-plan-po-5416
UK21-52993
Scottish Widows plc
Lloyds Banking Group
Lloyds Banking Group
0
2015
20150311
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: refusal/failure to pay or late payment
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.pensions-ombudsman.org.uk/decision/2015/po-3250/scottish-widows-personal-pension-po-3250
no amount specified
UK21-52997
AON Hewit
Aon
Aon
1570
2015
20150309
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
Ireland
publicly traded
financial services
insurance
IE00BLP1HW54
https://www.pensions-ombudsman.org.uk/decision/2015/aon-alexander-alexander-uk-pension-scheme-po-2065
UK21-52998
Scottish Widows plc
Lloyds Banking Group
Lloyds Banking Group
37067
2015
20150126
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-2704.pdf
UK21-53008
Standard Life Assurance Limited
Phoenix Group Holdings PLC
Standard Life
Standard Life Merged with Aberdeen Asset Management in 2017, becoming Standard Life Aberdeen (later renamed Abrdn). Phoenix Group acquired the Standard Life business from Standard Life Aberdeen in 2018.
0
2015
20150108
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Liberation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2015/po-3105/standard-life-self-invested-personal-pension-scheme-po-3105
no amount specified
UK21-53011
Scottish Life
Royal London Mutual Insurance
Royal London Mutual Insurance
3075
2014
20141219
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
mutual
financial services
insurance
https://www.pensions-ombudsman.org.uk/decision/2014/po-3419/scottish-life-income-drawdown-plan-po-3419
UK21-53016
Aon Hewitt Ltd
Aon
Aon
800
2014
20141117
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
Ireland
publicly traded
financial services
insurance
IE00BLP1HW54
https://www.pensions-ombudsman.org.uk/decision/2014/po-2875/sodexo-pension-fund-po-2875
UK21-53026
Friends Life
Aviva PLC
Friends Life Group
Friends Life Group was acquired by Aviva in 2015.
0
2014
20141016
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2014/po-3358/friends-life-number-3-stakeholder-pension-scheme-po-3358
UK21-53029
AEGON
Aegon
Aegon
200
2014
20141002
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Administration
agency action
UK-TPO
The Pensions Ombudsman
Netherlands
publicly traded
financial services
insurance
NL0000303709
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-2613.pdf
UK21-53031
Aegon
Aegon
Aegon
1425
2014
20140918
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
Netherlands
publicly traded
financial services
insurance
NL0000303709
https://www.pensions-ombudsman.org.uk/decision/2014/po-1472/aegon-personal-pension-plan-po-1472
UK21-53032
Abbey Life
Phoenix Group Holdings PLC
Deutsche Bank
Phoenix Group acquired Abbey Life from Deutsche Bank in 2016.
500
2014
20140910
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: Incorrectly Calculated
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-2470.pdf
UK21-53034
Phoenix Life Ltd
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
200
2014
20140816
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2014/po-3012/phoenix-life-personal-pension-plan-po-3012
UK21-53036
Standard Life Assurance Limited
Phoenix Group Holdings PLC
Standard Life
Standard Life Merged with Aberdeen Asset Management in 2017, becoming Standard Life Aberdeen (later renamed Abrdn). Phoenix Group acquired the Standard Life business from Standard Life Aberdeen in 2018.
300
2014
20140816
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2014/po-3012/phoenix-life-personal-pension-plan-po-3012
UK21-53037
Phoenix Life Ltd
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
250
2014
20140801
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2014/po-2640/phoenix-life-personal-pension-policies-po-2640
UK21-53043
Friends Life Limited
Aviva PLC
Friends Life Group
Resolution Limited changed its name to Friends Life Group later in 2014, and was acquired by Aviva in 2015.
0
2014
20140428
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions; penalty not specified
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2014/po-623/mott-macdonald-group-personal-pension-po-623
UK21-53047
Friends Life
Aviva PLC
Friends Life Group
Resolution Limited changed its name to Friends Life Group later in 2014, and was acquired by Aviva in 2015.
900
2014
20140331
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2014/po-2753-po-3081-and-po-3082/centre-parcs-group-pension-scheme-po-2753-po-3081-and-po
UK21-53049
Mercer Limited (Mercer)
Marsh & McLennan
Marsh & McLennan
0
2014
20140328
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: missing
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/decision/2014/po-1746/global-shipping-services-group-money-purchase-pension-scheme-po-1745
no amount specified
UK21-53055
Prudential
Prudential PLC
Prudential PLC
0
2014
20140319
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0007099541
https://www.pensions-ombudsman.org.uk/decision/2014/po-1394/prudential-pension-scheme-po-1394
UK21-53063
Friends Life Services Limited
Aviva PLC
Friends Life Group
Resolution Limited changed its name to Friends Life Group later in 2014, and was acquired by Aviva in 2015.
2300
2014
20140311
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2014/po-2270/friends-life-sipp-policy-po-2270
UK21-53065
JLT Benefit Solutions
Marsh & McLennan
Jardine Lloyd Thompson Group
Marsh & McLennan acquired JLT in 2019.
400
2014
20140219
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: Incorrectly Calculated
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/decision/2014/po-1168/g4s-pension-scheme-po-1168
UK21-53067
Scottish Equitable plc (AEGON)
Aegon
Aegon
2000
2014
20140124
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Charges/fees
agency action
UK-TPO
The Pensions Ombudsman
Netherlands
publicly traded
financial services
insurance
NL0000303709
https://www.pensions-ombudsman.org.uk/decision/2014/po-512/willeringhaus-co-ltd-pension-plan-plan-po-512
UK21-53074
Standard Life Assurance Limited
Phoenix Group Holdings PLC
Standard Life
Standard Life Merged with Aberdeen Asset Management in 2017, becoming Standard Life Aberdeen (later renamed Abrdn). Phoenix Group acquired the Standard Life business from Standard Life Aberdeen in 2018.
200
2014
20140124
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2014/po-1383/standard-life-personal-pension-plan-po-1383
UK21-53077
ReAssure Limited
Phoenix Group Holdings PLC
Swiss Re
Phoenix Group acquired ReAssure from Swiss Re in 2020.
2401
2013
20131217
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2013/po-003/pedshire-limited-retirement-benefit-scheme-po-003
UK21-53090
Zurich Assurance Ltd
Zurich Insurance
Zurich Insurance
0
2013
20131206
employment-related offences
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Benefits: missing
agency action
UK-TPO
The Pensions Ombudsman
Switzerland
publicly traded
financial services
insurance
CH0011075394
https://www.pensions-ombudsman.org.uk/decision/2013/po-787/pcg-glass-pension-scheme-po-787
no amount specified
UK21-53092
Mercer Ltd.
Marsh & McLennan
Marsh & McLennan
350
2013
20131025
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/decision/2013/po-820/bank-tokyo-mitsubishi-po-820
UK21-53098
Royal London Group (Scottish Life)
Royal London Mutual Insurance
Royal London Mutual Insurance
400
2013
20130828
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Administration
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
mutual
financial services
insurance
https://www.pensions-ombudsman.org.uk/decision/2013/po-378/scottish-life-personal-pension-plan-po-378
UK21-53112
Scottish Widows plc
Lloyds Banking Group
Lloyds Banking Group
910
2013
20130806
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.pensions-ombudsman.org.uk/decision/2013/po-221/scottish-widows-plc-po-221
UK21-53115
HSBC Bank Pension Trust (UK) Ltd
HSBC
HSBC
150
2013
20130731
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: Incorrectly Calculated
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0005405286
https://www.pensions-ombudsman.org.uk/decision/2013/po-167/hsbc-bank-uk-pension-scheme-po-167
UK21-53119
JLT Actuaries & Consultants Ltd
Marsh & McLennan
Jardine Lloyd Thompson Group
Marsh & McLennan acquired JLT in 2019.
150
2013
20130731
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: Incorrectly Calculated
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/decision/2013/po-167/hsbc-bank-uk-pension-scheme-po-166
UK21-53120
Aegon
Aegon
Aegon
11598
2013
20130724
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
Netherlands
publicly traded
financial services
insurance
NL0000303709
https://www.pensions-ombudsman.org.uk/decision/2013/po-660/scottish-equittable-ppp-po-660
UK21-53122
The Royal London Mutual Insurance Society
Royal London Mutual Insurance
Royal London Mutual Insurance
300
2013
20130717
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: missing
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
mutual
financial services
insurance
https://www.pensions-ombudsman.org.uk/decision/2013/po-835/royal-london-personal-pension-policy-4268523-po-835
UK21-53123
Friends Life WL Limited
Aviva PLC
Friends Life Group
Resolution Limited changed its name to Friends Life Group in 2014, and was acquired by Aviva in 2015.
200
2013
20130614
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2013/po-599/winterthur-life-self-invested-personal-plan-po-599
UK21-53130
Scottish Life
Royal London Mutual Insurance
Royal London Mutual Insurance
34977
2013
20130528
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: overpayment (recovery of)
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
mutual
financial services
insurance
https://www.pensions-ombudsman.org.uk/decision/2013/po-351/scottish-life-income-drawdown-plan-po-351
UK21-53134
AON
Aon
Aon
54850
2013
20130514
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
Ireland
publicly traded
financial services
insurance
IE00BLP1HW54
https://www.pensions-ombudsman.org.uk/decision/2013/po-107/anglo-uk-pension-scheme-po-107
UK21-53136
Sun Life Financial of Canada
Sun Life Financial
Sun Life Financial
150
2013
20130513
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
Canada
publicly traded
financial services
life insurance
CA8667961053
https://www.pensions-ombudsman.org.uk/decision/2013/po-483/sun-life-financial-canada-po-483
UK21-53137
Scottish Widows
Lloyds Banking Group
Lloyds Banking Group
250
2013
20130411
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.pensions-ombudsman.org.uk/decision/2013/po-408/mcnicolas-construction-holdings-pension-scheme-po-408
UK21-53142
JLT Benefit Solutions Ltd
Marsh & McLennan
Jardine Lloyd Thompson Group
Marsh & McLennan acquired JLT in 2019.
300
2013
20130326
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Post retirement increases (escalation): general
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/decision/2013/836892/wrvs-services-welfare-pension-scheme-836892
UK21-53151
ReAssure Ltd
Phoenix Group Holdings PLC
Swiss Re
Phoenix Group acquired ReAssure from Swiss Re in 2020.
2668
2013
20130212
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Administration
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2013/881261/reassure-personal-pension-plan-881261
UK21-53161
HSBC Bank Pension Trust (UK) Limited
HSBC
HSBC
500
2013
20130131
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: refusal/failure to pay or late payment
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0005405286
https://www.pensions-ombudsman.org.uk/decision/2013/826692/hsbc-bank-uk-defined-contribution-pension-scheme-826692
UK21-53167
Towers Watson
Willis Towers Watson
Towers Watson & Co.
Willis Towers Watson was formed by the merger of Willis Group and Towers Watson in 2016.
0
2013
20130131
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: refusal/failure to pay or late payment
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
IE00BDB6Q211
https://www.pensions-ombudsman.org.uk/decision/2013/826692/hsbc-bank-uk-defined-contribution-pension-scheme-826692
no amount specified
UK21-53168
Scottish Equitable plc (AEGON)
Aegon
Aegon
250
2012
20121219
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Charges/fees
agency action
UK-TPO
The Pensions Ombudsman
Netherlands
publicly traded
financial services
insurance
NL0000303709
https://www.pensions-ombudsman.org.uk/decision/2012/843953/connector-europe-limited-pension-scheme-843953
UK21-53178
JLT Benefit Solutions Ltd
Marsh & McLennan
Jardine Lloyd Thompson Group
Marsh & McLennan acquired JLT in 2019.
1000
2012
20121102
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/decision/2012/820351/stanplan-f-robert-prettie-co-ltd-820351
UK21-53184
JLT Benefit Solutions Ltd
Marsh & McLennan
Jardine Lloyd Thompson Group
Marsh & McLennan acquired JLT in 2019.
1000
2012
20121102
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/decision/2012/822971/stanplan-f-robert-prettie-co-ltd-822971
UK21-53185
Stagecoach North East
Deutsche Bank
Stagecoach Group PLC
DWS Infrastructure, owned by Deutsche Bank, acquired Stagecoach in 2022
200
2012
20121011
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
Germany
publicly traded
financial services
banking & securities
DE0005140008
https://www.pensions-ombudsman.org.uk/decision/2012/895791/local-government-pension-scheme-895791
UK21-53187
Prudential Assurance Company Limited.
M&G PLC
Prudential plc
Prudential changed holding company and name to M&G Prudential in 2018, and in 2019 split into Prudential plc and M&G plc, with Prudential Assurance Co. a subsidiary of M&G.
7171
2012
20121008
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
asset management
GB00BKFB1C65
https://www.pensions-ombudsman.org.uk/decision/2012/852972/prudential-pension-plan-852972
UK21-53188
Mercer Ltd
Marsh & McLennan
Marsh & McLennan
224
2012
20120925
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/decision/2012/855962/countrywide-plc-pension-scheme-defined-benefits-section-855962
UK21-53189
Aon Hewitt
Aon
Aon
112
2012
20120925
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
Ireland
publicly traded
financial services
insurance
IE00BLP1HW54
https://www.pensions-ombudsman.org.uk/decision/2012/855962/countrywide-plc-pension-scheme-defined-benefits-section-855962
UK21-53190
BlackRock Life Limited
BlackRock
BlackRock
112
2012
20120925
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
financial services
US09247X1019
https://www.pensions-ombudsman.org.uk/decision/2012/855962/countrywide-plc-pension-scheme-defined-benefits-section-855962
UK21-53191
Aegon Scottish Equitable
Aegon
Aegon
1387
2012
20120723
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
Netherlands
publicly traded
financial services
insurance
NL0000303709
https://www.pensions-ombudsman.org.uk/decision/2012/858921/prudential-personal-pension-plan-858921
UK21-53196
Prudential
Prudential PLC
Prudential PLC
1387
2012
20120723
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0007099541
https://www.pensions-ombudsman.org.uk/decision/2012/858921/prudential-personal-pension-plan-858921
UK21-53197
Standard Life
Phoenix Group Holdings PLC
Standard Life
Standard Life Merged with Aberdeen Asset Management in 2017, becoming Standard Life Aberdeen (later renamed Abrdn). Phoenix Group acquired the Standard Life business from Standard Life Aberdeen in 2018.
1000
2012
20120330
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2012/812021/standard-life-self-invested-personal-pension-plan-812021
UK21-53207
Aegon Scottish Equitable plc
Aegon
Aegon
100
2012
20120330
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
Netherlands
publicly traded
financial services
insurance
NL0000303709
https://www.pensions-ombudsman.org.uk/decision/2012/831441/aegon-scottish-equitable-personal-pension-plan-831441
UK21-53208
JLT Benefit Solutions Ltd
Marsh & McLennan
Jardine Lloyd Thompson Group
Marsh & McLennan acquired JLT in 2019.
500
2012
20120328
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/decision/2012/821211/booker-pension-scheme-821211
UK21-53209
HSBC Bank Pension Trust (UK) Limited
HSBC
HSBC
500
2012
20120327
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: missing
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0005405286
https://www.pensions-ombudsman.org.uk/decision/2012/783945/hsbc-bank-uk-pension-scheme-783945
UK21-53212
Legal & General
Legal & General Group PLC
Legal & General Group PLC
300
2012
20120327
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Post retirement increases (escalation): general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
asset management
GB0005603997
https://www.pensions-ombudsman.org.uk/decision/2012/830041/bl-city-estates-limited-pension-and-life-assurance-scheme-830041
UK21-53214
Aegon
Aegon
Aegon
10500
2012
20120208
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
Netherlands
publicly traded
financial services
insurance
NL0000303709
https://www.pensions-ombudsman.org.uk/decision/2012/837721/james-lister-sons-1973-ltd-pension-scheme-837721
UK21-53230
Zurich Assurance Limited
Zurich Insurance
Zurich Insurance
5795
2012
20120124
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
Switzerland
publicly traded
financial services
insurance
CH0011075394
https://www.pensions-ombudsman.org.uk/decision/2012/828642/zurich-personal-pension-plan-828642
UK21-53233
Abbey Life Assurance Company Limited
Phoenix Group Holdings PLC
Deutsche Bank
Phoenix Group acquired Abbey Life from Deutsche Bank later in 2016.
350
2011
20111213
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: refusal/failure to pay or late payment
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2011/829312/cooper-lighting-and-saftey-staff-pension-scheme-829312
UK21-53239
Aegon
Aegon
Aegon
19861
2011
20111213
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
Netherlands
publicly traded
financial services
insurance
NL0000303709
https://www.pensions-ombudsman.org.uk/decision/2011/823451/aegon-scottish-equitable-personal-pension-policy-823451
UK21-53241
Phoenix Life Limited
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
250
2011
20111213
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2011/730083/coventry-climax-pension-scheme-730083
UK21-53242
Royal Bank of Scotland Group
NatWest Group PLC
NatWest Group PLC
350
2011
20111102
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://www.pensions-ombudsman.org.uk/decision/2011/791482/royal-bank-scotland-group-pension-fund-791482
UK21-53246
Standard Life Assurance Ltd
Phoenix Group Holdings PLC
Standard Life
Standard Life Merged with Aberdeen Asset Management in 2017, becoming Standard Life Aberdeen (later renamed Abrdn). Phoenix Group acquired the Standard Life business from Standard Life Aberdeen in 2018.
1689
2011
20111014
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2011/799031/jacobs-engineering-ltd-pension-scheme-799031
UK21-53249
Aviva Life Services UK Limited
Aviva PLC
Aviva PLC
900
2011
20111004
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2011/810431/adnams-pension-fund-810431
UK21-53250
AEGON Scottish Equitable
Aegon
Aegon
250
2011
20110916
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
Netherlands
publicly traded
financial services
insurance
NL0000303709
https://www.pensions-ombudsman.org.uk/decision/2011/810732/aegon-scottish-equitable-personal-pension-scheme-810732
UK21-53252
Standard Life Assurance Limited
Phoenix Group Holdings PLC
Standard Life
Standard Life Merged with Aberdeen Asset Management in 2017, becoming Standard Life Aberdeen (later renamed Abrdn). Phoenix Group acquired the Standard Life business from Standard Life Aberdeen in 2018.
28123
2011
20110912
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2011/783141/standard-life-self-invested-personal-pension-sipp-783141
UK21-53253
London Life
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
1543
2011
20110902
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: refusal/failure to pay or late payment
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2011/809352/j-b-broadley-retirement-benefit-scheme-809352
UK21-53254
Scottish Equitable plc
Aegon
Aegon
770
2011
20110826
employment-related offences
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Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
Netherlands
publicly traded
financial services
insurance
NL0000303709
https://www.pensions-ombudsman.org.uk/decision/2011/766582/jw-e-morris-sons-staff-1993-retirement-benefit-scheme-766582
UK21-53255
Aon Hewitt
Aon
Aon
250
2011
20110809
employment-related offences
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Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
Ireland
publicly traded
financial services
insurance
IE00BLP1HW54
https://www.pensions-ombudsman.org.uk/decision/2011/818172/1-marshall-group-pension-and-life-assurance-scheme-2-aviva-stakeholder-pension
UK21-53258
Aviva
Aviva PLC
Aviva PLC
250
2011
20110809
employment-related offences
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Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2011/818172/1-marshall-group-pension-and-life-assurance-scheme-2-aviva-stakeholder-pension
UK21-53259
Aegon Scottish Equitable
Aegon
Aegon
350
2011
20110729
employment-related offences
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Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
Netherlands
publicly traded
financial services
insurance
NL0000303709
https://www.pensions-ombudsman.org.uk/decision/2011/810102/scottish-equitable-self-invested-personal-pension-sipp-810102
UK21-53263
The Royal London Mutual Insurance Society Ltd
Royal London Mutual Insurance
Royal London Mutual Insurance
2700
2011
20110728
employment-related offences
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Charges/fees
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
mutual
financial services
insurance
https://www.pensions-ombudsman.org.uk/decision/2011/827731/scottish-life-talisman-personal-pension-plan-827731
UK21-53264
JLT Benefit Solutions Ltd (JLT)
Marsh & McLennan
Jardine Lloyd Thompson Group
Marsh & McLennan acquired JLT in 2019.
0
2011
20110715
employment-related offences
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Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/decision/2011/816251/tyco-holdings-uk-ltd-care-pension-scheme-816251
no amount specified
UK21-53266
Mercer Ltd.
Marsh & McLennan
Marsh & McLennan
100
2011
20110701
employment-related offences
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Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/decision/2011/809332/servier-laboratories-pension-scheme-809332
UK21-53267
Standard Life Assurance Ltd
Phoenix Group Holdings PLC
Standard Life
Standard Life Merged with Aberdeen Asset Management in 2017, becoming Standard Life Aberdeen (later renamed Abrdn). Phoenix Group acquired the Standard Life business from Standard Life Aberdeen in 2018.
0
2011
20110427
employment-related offences
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Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2011/808431/paterson-arran-ltd-group-personal-pension-scheme-808431
no amount specified
UK21-53274
Scottish Life
Royal London Mutual Insurance
Royal London Mutual Insurance
500
2011
20110328
employment-related offences
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Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
mutual
financial services
insurance
https://www.pensions-ombudsman.org.uk/decision/2011/774021/scottish-life-personal-pension-scheme-774021
UK21-53277
Aviva
Aviva PLC
Aviva PLC
1000
2011
20110324
employment-related offences
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Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2011/791141/norwich-union-sipp-791141
UK21-53278
Aviva
Aviva PLC
Aviva PLC
1000
2011
20110324
employment-related offences
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Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2011/795061/norwich-union-sipp-795061
UK21-53279
Prudential
Prudential PLC
Prudential PLC
520
2011
20110323
employment-related offences
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Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0007099541
https://www.pensions-ombudsman.org.uk/decision/2011/814211/prudential-personal-pension-scheme-814211
UK21-53280
BlackRock Pensions Limited
BlackRock
BlackRock
250
2011
20110302
employment-related offences
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Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
financial services
US09247X1019
https://www.pensions-ombudsman.org.uk/decision/2011/800292/countrywide-plc-pension-scheme-defined-contribution-section-800292
UK21-53283
Mercer Ltd.
Marsh & McLennan
Marsh & McLennan
250
2011
20110302
employment-related offences
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Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/decision/2011/800292/countrywide-plc-pension-scheme-defined-contribution-section-800292
UK21-53284
Mercer Human Resource Consulting plc (Mercer)
Marsh & McLennan
Marsh & McLennan
5750
2011
20110217
employment-related offences
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Benefits: missing
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/decision/2011/766601/samuelson-group-plc-1991-pension-scheme-766601
UK21-53288
The Prudential Assurance Company Limited
M&G PLC
Prudential plc
Prudential changed holding company and name to M&G Prudential in 2018, and in 2019 split into Prudential plc and M&G plc, with Prudential Assurance Co. a subsidiary of M&G.
483
2011
20110207
employment-related offences
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Benefits: refusal/failure to pay or late payment
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
asset management
GB00BKFB1C65
https://www.pensions-ombudsman.org.uk/decision/2011/804791/scottish-teachers-superannuation-scheme-804791
UK21-53290
Prudential Assurance Company Ltd
M&G PLC
Prudential plc
Prudential changed holding company and name to M&G Prudential in 2018, and in 2019 split into Prudential plc and M&G plc, with Prudential Assurance Co. a subsidiary of M&G.
500
2011
20110112
employment-related offences
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Administration
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
asset management
GB00BKFB1C65
https://www.pensions-ombudsman.org.uk/decision/2011/750761/prudential-personal-pension-750761
UK21-53293
Friends Provident Life and Pensions Limited
Aviva PLC
Friends Life Group
Resolution Limited changed its name to Friends Life Group in 2014, and was acquired by Aviva in 2015.
12706
2010
20101224
employment-related offences
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Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2010/727715/lf-jones-holdings-ltd-retirement-and-death-benefits-scheme-friends-providents
UK21-53298
Pearl Assurance Limited
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
4982
2010
20101224
employment-related offences
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Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2010/727715/lf-jones-holdings-ltd-retirement-and-death-benefits-scheme-friends-providents
UK21-53299
Aviva
Aviva PLC
Aviva PLC
250
2010
20101209
employment-related offences
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Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2010/785301/norwich-union-sipp-client-number-96747-785301
UK21-53305
Aviva Life Services UK Ltd
Aviva PLC
Aviva PLC
0
2010
20101207
employment-related offences
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Administration
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2010/756452/norwich-union-retirement-annuity-plan-756452
no amount specified
UK21-53306
Standard Life Assurance Limited
Phoenix Group Holdings PLC
Standard Life
Standard Life Merged with Aberdeen Asset Management in 2017, becoming Standard Life Aberdeen (later renamed Abrdn). Phoenix Group acquired the Standard Life business from Standard Life Aberdeen in 2018.
0
2010
20101125
employment-related offences
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Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2010/797792/standard-life-appropriate-personal-pension-scheme-797792
no amount specified
UK21-53308
Legal & General and Universities Superannuation Scheme Limited and Chevanstell Management Limited
Legal & General Group PLC
Legal & General Group PLC
0
2010
20101028
employment-related offences
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Transfers: general
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
asset management
GB0005603997
https://www.pensions-ombudsman.org.uk/decision/2010/749852/try-baltica-insurance-management-ltd-749852
UK21-53310
Friends Provident Life and Pensions Limited
Aviva PLC
Friends Life Group
Resolution Limited changed its name to Friends Life Group in 2014, and was acquired by Aviva in 2015.
3278
2010
20101015
employment-related offences
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Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2010/758081/friends-provident-personal-pension-plan-758081
UK21-53311
Countrywide Assured plc
Chesnara PLC
Chesnara PLC
1692
2010
20101005
employment-related offences
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Benefits: refusal/failure to pay or late payment
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
life assurance and pensions consolidator
GB00B00FPT80
https://www.pensions-ombudsman.org.uk/decision/2010/786732/irish-life-executive-pension-plan-786732
UK21-53313
Scottish Widows plc
Lloyds Banking Group
Lloyds Banking Group
1000
2010
20100906
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Benefits: overpayment (recovery of)
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.pensions-ombudsman.org.uk/decision/2010/770141/scottish-widows-income-drawdown-plan-770141
UK21-53319
Sun Life Financial of Canada
Sun Life Financial
Sun Life Financial
250
2010
20100819
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
Canada
publicly traded
financial services
life insurance
CA8667961053
https://www.pensions-ombudsman.org.uk/decision/2010/781321/scheme-781321
UK21-53322
Abbey Life Assurance Company Limited
Phoenix Group Holdings PLC
Deutsche Bank
Phoenix Group acquired Abbey Life from Deutsche Bank later in 2016.
2400
2010
20100729
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2010/757341/new-zealand-lamb-promotion-council-pension-scheme-757341
UK21-53326
AEGON Scottish Equitable
Aegon
Aegon
150
2010
20100618
employment-related offences
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Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
Netherlands
publicly traded
financial services
insurance
NL0000303709
https://www.pensions-ombudsman.org.uk/decision/2010/785531/alun-griffiths-contractors-limited-gpp-785531
UK21-53331
JLT EB Services Limited
Marsh & McLennan
Marsh & McLennan
London
England
24900
2020
20201231
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Unpaid Escalating Penalty Notice, company subject to Court Order
agency action
UK-TPR
The Pensions Regulator
United States
publicly traded
financial services
insurance
US5717481023
https://webarchive.nationalarchives.gov.uk/20210425043729/https://www.thepensionsregulator.gov.uk/en/document-library/enforcement-activity/penalty-notices
UK21-53340
Direct Line Group Services Pension Scheme (1993)
Direct Line Insurance Group PLC
Direct Line Insurance Group PLC
500
2020
20200331
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Fine for failing to produce a fully compliant annual governance statement.
agency action
UK-TPR
The Pensions Regulator
United Kingdom
publicly traded
financial services
insurance
GB00BY9D0Y18
https://webarchive.nationalarchives.gov.uk/20200701121244/https://www.thepensionsregulator.gov.uk/en/document-library/enforcement-activity/penalty-notices
Company recorded is the Pension Fund, but penalty was actually issued to the Trustee of the Fund.
UK21-53523
Countrywide Assured Trustee Company Ltd
Chesnara PLC
Chesnara PLC
522
2019
20191231
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Fine for failing to produce a fully compliant annual governance statement.
agency action
UK-TPR
The Pensions Regulator
United Kingdom
publicly traded
financial services
life assurance and pensions consolidator
GB00B00FPT80
https://webarchive.nationalarchives.gov.uk/20200323183716/https://www.thepensionsregulator.gov.uk/en/document-library/enforcement-activity/penalty-notices
UK21-53596
Societe Generale Newedge UK Ltd
Societe Generale
Societe Generale
501
2019
20190630
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Fine for failing to produce a fully compliant annual governance statement.
agency action
UK-TPR
The Pensions Regulator
France
publicly traded
financial services
banking
FR0000130809
https://webarchive.nationalarchives.gov.uk/20191028123113/https://www.thepensionsregulator.gov.uk/en/document-library/enforcement-activity/penalty-notices
Company recorded is the Pension Fund, but penalty was actually issued to the Trustee of the Fund.
UK21-53800
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2018
20181201
employment-related offences
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Southern Water Services and the Southern Water Pension Scheme reached an agreement to solve a deficit in the pension scheme with increased payments, following a warning notice by TPR that the recovery plan was inappropriately long.
agency action
Settlement after warning notice from TPR
UK-TPR
The Pensions Regulator
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://www.thepensionsregulator.gov.uk/-/media/thepensionsregulator/files/import/pdf/regulatory-intervention-section-89-southern-water.ashx
UK21-53979
The Societe Generale Pension Plan
Societe Generale
Societe Generale
504
2018
20180331
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Fine for failing to produce a fully compliant annual governance statement.
agency action
UK-TPR
The Pensions Regulator
France
publicly traded
financial services
banking
FR0000130809
https://webarchive.nationalarchives.gov.uk/20180702134120/http://www.thepensionsregulator.gov.uk/doc-library/escalating-penalty-notices.aspx
Company recorded is the Pension Fund, but penalty was actually issued to the Trustee of the Fund.
UK21-54324
The Law Debenture Pension Trust Corporation
Law Debenture Corporation PLC
Law Debenture Corporation PLC
2000
2017
20171231
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Fine for failing to produce a fully compliant annual governance statement.
agency action
UK-TPR
The Pensions Regulator
United Kingdom
publicly traded
financial services
investment true and investor services
GB0031429219
https://webarchive.nationalarchives.gov.uk/20180702133919/http://www.thepensionsregulator.gov.uk/doc-library/historic-penalty-notices.aspx
UK21-54377
Pearson Jones and Company (Trustees) Ltd
Abrdn PLC
Standard Life
Aberdeen Asset Management merged with Standard Life Assurance in 2017, becoming Standard Life Aberdeen, which changed name to Abrdn in 2021.
600
2017
20170930
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Fine for failing to produce a scheme return.
agency action
UK-TPR
The Pensions Regulator
United Kingdom
publicly traded
financial services
investment management
GB00BF8Q6K64
https://webarchive.nationalarchives.gov.uk/20180103165947/http://www.thepensionsregulator.gov.uk/doc-library/escalating-penalty-notices.aspx
UK21-54589
Southern Water
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
126000000
2019
20190625
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Southern Water agreed to pay £126m in penalties and payments to customers following serious failures in the operation of its sewage treatment sites and for deliberately misreporting its performance.
agency action
UK-OFWAT
Water Services Regulation Authority
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://www.ofwat.gov.uk/pn-12-19-southern-water-to-pay-126m-following-ofwat-investigation/
UK21-54670
ASSOCIATED WASTE MANAGEMENT LIMITED
Macquarie
Associated Waste Management Limited
Beauparc acquired Associated Waste in 2018. In 2021 Beauparc was acquired by Macquarie.
England
4092555
14000
2011
20110127
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Other Source - Other
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-54727
ASSOCIATED WASTE MANAGEMENT LIMITED
Macquarie
Associated Waste Management Limited
Beauparc acquired Associated Waste in 2018. In 2021 Beauparc was acquired by Macquarie.
England
4092555
5000
2011
20110127
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Other Source - Other
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-54728
ASSOCIATED WASTE MANAGEMENT LIMITED
Macquarie
Associated Waste Management Limited
Beauparc acquired Associated Waste in 2018. In 2021 Beauparc was acquired by Macquarie.
England
4092555
5000
2011
20110127
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Other Source - Other
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-54729
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
35000
2011
20110414
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55013
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
15000
2011
20110414
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55014
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
6000
2011
20110421
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55062
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
6000
2011
20110421
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55063
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
6000
2011
20110421
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55064
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
6000
2011
20110421
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55065
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
6000
2011
20110421
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55066
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
6000
2011
20110421
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55067
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
6000
2011
20110421
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55068
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
6000
2011
20110421
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55069
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
6000
2011
20110421
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55070
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
6000
2011
20110421
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55071
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
6000
2011
20110421
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55072
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
6000
2011
20110421
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55073
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
6000
2011
20110421
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55074
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
6000
2011
20110421
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55075
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
6000
2011
20110421
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55076
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
6000
2011
20110421
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55077
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
0
2011
20110810
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Caution
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55384
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
5000
2011
20110822
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55407
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
20000
2011
20110930
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55494
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
13500
2011
20111027
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55544
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
5000
2011
20111129
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55622
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
5000
2011
20111129
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55623
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
50000
2012
20120305
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Southern Water was fined £50,000 for failure to prevent the escape of waste
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55774
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
5000
2012
20120312
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55778
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
0
2012
20120507
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Caution
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55892
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
8000
2012
20120517
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55911
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
20000
2012
20120601
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-55934
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
10000
2012
20120725
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-56033
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
10000
2012
20120924
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-56136
SOUTHERN WATER SERVICES LTD
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366670
0
2013
20130108
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Caution
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-56273
INFINIS (RE-GEN) LIMITED
3i Infrastructure PLC
Terra Firma Capital Partners
Infinis plc was acquired by 3i Infrastructure from Terra Firma Capital Partners in 2016.
England
151665
0
2013
20130311
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Power Generation (Industry Sector)
agency action
Caution
UK-EA
Environment Agency
Jersey
publicly traded
financial services
infrastructure investments
JE00BF5FX167
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-56371
INFINIS (RE-GEN) LIMITED
3i Infrastructure PLC
Terra Firma Capital Partners
Infinis plc was acquired by 3i Infrastructure from Terra Firma Capital Partners in 2016.
England
151665
0
2013
20130311
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Power Generation (Industry Sector)
agency action
Caution
UK-EA
Environment Agency
Jersey
publicly traded
financial services
infrastructure investments
JE00BF5FX167
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-56372
INFINIS (RE-GEN) LIMITED
3i Infrastructure PLC
Terra Firma Capital Partners
Infinis plc was acquired by 3i Infrastructure from Terra Firma Capital Partners in 2016.
England
151665
0
2013
20130311
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Power Generation (Industry Sector)
agency action
Caution
UK-EA
Environment Agency
Jersey
publicly traded
financial services
infrastructure investments
JE00BF5FX167
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-56373
Southern Water Services Ltd
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Hailsham
England
2366670
0
2013
20130513
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Reg 36 - Comply with conditions and remedy pollution
agency action
Notice
388
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-56488
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
0
2013
20130513
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Enforcement Notice
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-56489
CALA HOMES (MIDLANDS) LIMITED
Legal & General Group PLC
CALA Group
Legal & General acquired CALA in 2018.
England
682410
8000
2013
20130521
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
OTHER (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
United Kingdom
publicly traded
financial services
asset management
GB0005603997
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-56508
SOUTHERN WATER SERVICES LTD
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366670
200000
2013
20130821
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Southern Water were fined £200,000 after untreated sewage was discharged into the sea off Margate between January and June 2011
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-56689
Southern Water Services Ltd
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Eastchurch
England
2366670
10000
2014
20140220
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Regulation 38(1)(a)
agency action
Prosecution
6555
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-57005
Southern Water Services Ltd
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Waterlooville
England
2366670
0
2014
20140407
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Regulation 38(1)(b)
agency action
Caution
11899
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-57071
SOUTHERN WATER SERVICES LTD
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366670
0
2014
20140708
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Caution
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-57209
Southern Water Services Ltd
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Heathfield
England
2366670
40000
2014
20140917
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Regulation 38(1)(a)
agency action
Prosecution
11888
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-57327
Southern Water Services Ltd
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Southampton
England
2366690
0
2014
20140925
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Reg 36 - Comply with conditions and remedy pollution
agency action
Notice
67622
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-57339
Southern Water Services Ltd
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Whitstable
England
2366670
519224
2014
20141112
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Southern Water was fined £500,000 and £19,224 costs after pleading guilty to allowing untreated sewage to discharge from a pumping station's emergency outlet into Swalecliffe Brook, killing hundreds of fish, and failed to respond quickly enough to an alarm.
agency action
Guilty Plea
10075
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-57408
Southern Water Services Ltd
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Sittingbourne
England
2366670
0
2015
20150320
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Reg 36 - Comply with conditions and remedy pollution
agency action
Notice
32884
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-57584
Southern Water Services Limited Registered Company
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Sittingbourne
England
2366670
0
2015
20150512
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Reg 36 - Comply with conditions and remedy pollution
agency action
Notice
38882
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-57647
Southern Water Services Limited Registered Company
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Eastchurch
England
2366670
0
2015
20150512
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Reg 36 - Comply with conditions and remedy pollution
agency action
Notice
38889
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-57648
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Southampton
England
2366670
0
2015
20150730
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Regulation 38(2)
agency action
Notice
33675
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-57739
Parley Court Solar Park Ltd
The Renewables Infrastructure Group
The Renewables Infrastructure Group
Christchurch
England
8263104
0
2015
20150903
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Regulation 38(1)(a)
agency action
Caution
15998
UK-EA
Environment Agency
United Kingdom
publicly traded
financial services
investment trust
GG00BBHX2H91
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-57773
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
160000
2015
20150922
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Southernn Water were prosecuted by the Environment Agency for allowing a total of 40 million litres of untreated sewage to be discharged from its treatment works in East Worthing over 2 days in September 2012
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-57795
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
0
2015
20150922
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-57797
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
England
2366620
0
2015
20150922
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
WSC Sewage,Sewerage & Supply (Industry Sector)
agency action
Court Case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-57798
Southern Water Services Limited Registered Company
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Eastchurch
England
2366670
0
2016
20160804
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
S161A - Notice requiring persons to carry out anti-pollution work and operations
agency action
Notice
44642
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-58143
Southern Water Services Ltd
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Tunbridge Wells
England
2366670
24000
2016
20160815
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Regulation 38(2)
agency action
Prosecution
24579
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-58146
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Margate
England
2366670
2000000
2016
20161216
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Southern Water was ordered to pay a £2 million fine for discharges of sewage into the sea in 2012.
agency action
Guilty Plea
42773
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-58232
Associated Waste Management Ltd
Macquarie
Associated Waste Management Limited
Beauparc acquired Associated Waste in 2018. In 2021 Beauparc was acquired by Macquarie.
Leeds
England
4092555
112500
2017
20170306
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Associated Waste Management was fined £75,000 for odour pollution from its Leeds site and £75,000 in costs for this offence and another on its Bradford site
agency action
Prosecution
10611
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-58266
Associated Waste Management Ltd
Macquarie
Associated Waste Management Limited
Beauparc acquired Associated Waste in 2018. In 2021 Beauparc was acquired by Macquarie.
Bradford
England
4092555
87500
2017
20170306
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Associated Waste Management was fined £50,000 for odour pollution from its Bradford site and ordered to pay £75,000 costs for this offence and another at its Leeds site
agency action
Prosecution
10611
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-58267
Southern Water Service Ltd Registered Company
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Lyndhurst
England
2366670
0
2018
20181005
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Reg 36 - Comply with conditions and remedy pollution
agency action
Notice
74093
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-58628
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Dover
England
2366670
0
2020
20200730
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
41 (1) (a)
agency action
Notice
89883
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-58859
Southern Water Services Ltd Registered Company
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. Later in 2021 a fund managed by Macquarie acquired a majority stake.
Ashford
England
2366670
0
2021
20210519
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Reg 36 - Comply with conditions and remedy pollution
agency action
Notice
92486
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-58929
Southern Water Service Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In September 2021 a fund managed by Macquarie acquired a majority stake.
Horsham
England
2366670
0
2021
20210521
environment-related offences
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Reg 36 - Comply with conditions and remedy pollution
agency action
Notice
97787
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
Contained in data received in response to a Freedom of Information request for a spreadsheet version of data contained in the Environment Agency Public Register at https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-58930
Credit Suisse Services, AG
UBS
Credit Suisse
UBS took over Credit Suisse in 2023
England and Wales
20000
2021
20210910
employment-related offences
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Protective Award, Redundancy
agency action
UK-ET
Employment Tribunal
Switzerland
publicly traded
financial services
banking & securities
CH0244767585
https://assets.publishing.service.gov.uk/media/6139afe2d3bf7f05b97050bf/Mr_G_Sittampalam_-v-_Credit_Suisse_Services__AG_London_Branch_-_3202571_2020_-_Judgment.pdf
UK21-59634
Lloyds Banking Group
Lloyds Banking Group
Lloyds Banking Group
England and Wales
4300
2021
20210901
employment-related offences
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Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://assets.publishing.service.gov.uk/media/6149c1a8d3bf7f05b694d716/Mr_H_McCourt__vs_Lloyds_Banking_Group.pdf
UK21-60020
Royal Bank of Canada
Royal Bank of Canada
Royal Bank of Canada
England and Wales
1112956
2021
20210923
employment-related offences
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Public Interest Disclosure, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
Canada
publicly traded
financial services
banking
CA7800871021
https://assets.publishing.service.gov.uk/media/615d9ec5e90e071979dfeb8c/Mr_J_Bannerjee__vs_Royal_Bank_of_Canada.pdf
UK21-60299
Associated Waste Management Ltd
Macquarie
Associated Waste Management Limited
Beauparc acquired Associated Waste in 2018. In 2021 Beauparc was acquired by Macquarie.
Bradford
72000
2011
20110127
environment-related offences
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Associated Waste Management Limited was found guilty of three offences including mixing waste contrary to its permit and illegal waste dumping
agency action
court case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-60675
ASSOCIATED WASTE MANAGEMENT LIMITED
Macquarie
Associated Waste Management Limited
Beauparc acquired Associated Waste in 2018. In 2021 Beauparc was acquired by Macquarie.
15000
2011
20110127
environment-related offences
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agency action
court case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-60676
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
10000
2011
20111129
environment-related offences
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agency action
court case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-61200
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
13500
2011
20111027
environment-related offences
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agency action
court case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-61201
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
20000
2011
20110930
environment-related offences
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agency action
court case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-61202
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
5000
2011
20110822
environment-related offences
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agency action
court case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-61203
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Worthing
96000
2011
20110421
environment-related offences
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Southern Water were fined £96,000 across 17 charges for breach of discharge consent
agency action
court case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-61204
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Worthing
50000
2011
20110414
environment-related offences
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Southern Water was fined £50,000 for breaches of discharge consent
agency action
court case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-61205
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
5000
2010
20101106
environment-related offences
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agency action
court case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-61206
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
5000
2010
20101027
environment-related offences
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agency action
court case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-61207
SOUTHERN WATER SERVICES LIMITED
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
3000
2010
20100625
environment-related offences
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agency action
court case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-61208
SOUTHERN WATER SERVICES LTD
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. Later in 2021 a fund managed by Macquarie acquired a majority stake.
Worthing
90000000
2021
20210907
environment-related offences
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Southern Water has been handed a record £90 million fine after pleading guilty to thousands of illegal discharges of sewage which polluted rivers and coastal waters in Kent, Hampshire and Sussex.
agency action
court case
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://www.gov.uk/government/news/record-90m-fine-for-southern-water-following-ea-prosecution
UK21-61209
Aon Limited
Aon
Aon
1000
2021
20210813
employment-related offences
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Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
Ireland
publicly traded
financial services
insurance
IE00BLP1HW54
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/CAS-38262-L3K1.pdf
UK21-63002
Credit Suisse
UBS
Credit Suisse
UBS took over Credit Suisse in 2023
292209276
2021
20211019
financial offences
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The Financial Conduct Authority fined Credit Suisse over £147 million for serious financial crime due diligence failings related to loans worth over US$1.3 billion, which the bank arranged for the Republic of Mozambique. FCA said these loans, and a bond exchange, were tainted by corruption. Credit Suisse also agreed with the FCA to forgive US$200 million (added to the penalty amount here as £145,019,000) of debt owed by the Republic of Mozambique as a result of these tainted loans.
agency action
UK-FCA
Financial Conduct Authority
Switzerland
publicly traded
financial services
banking & securities
CH0244767585
https://www.fca.org.uk/news/press-releases/credit-suisse-fined-ps147190276-us200664504-and-undertakes-fca-forgive-us200-million-mozambican-debt
UK21-63106
Aviva Life & Pensions UK Limited
Aviva PLC
Aviva PLC
1000
2021
20211021
employment-related offences
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Administration
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-22898.pdf
UK21-64714
Busways Travel Services Limited
Deutsche Bank
Stagecoach Group PLC
DWS Infrastructure, owned by Deutsche Bank, acquired Stagecoach in 2022
England and Wales
32299
2021
20211103
employment-related offences
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Breach of Contract, Disability Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
Germany
publicly traded
financial services
banking & securities
DE0005140008
https://assets.publishing.service.gov.uk/media/61a893f98fa8f5038358c104/Mr_W_Rogerson_v_Busways_Travel_Services_Limited_2415079-2019_Cert_of_Correction.pdf
UK21-65741
Sunrise Brokers LLP
BGC Partners
BGC Partners
642400
2021
20211112
financial offences
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Sunrise Brokers agreed to pay a £642,400 fine in settlement of a finding by the FCA that the company had deficient systems and controls to identify and mitigate the risk of facilitating fraudulent trading and money laundering in relation to business introduced by the Solo Group.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United States
publicly traded
financial services
brokerage and financial technology
US05541T1016
https://www.fca.org.uk/news/press-releases/sunrise-brokers-llp-fine-serious-financial-crime-control-failings
UK21-65869
Metro Bank plc
Metro Bank PLC
Metro Bank PLC
5376000
2021
20211222
financial offences
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The Prudential Regulation Authority imposed a financial penalty on Metro Bank plc of £5,376,000 for failing to act with due skill, care and diligence in relation to the regulatory reporting of its capital position and for failings in its regulatory reporting governance, controls and investment with respect to its Common Reporting returns.
agency action
UK-PRA
Prudential Regulation Authority
United Kingdom
publicly traded
financial services
banking
GB00BZ6STL67
https://www.bankofengland.co.uk/news/2021/december/pra-fines-metro-bank-5376000-for-failing-in-its-regulatory-reporting-governance-and-controls
UK21-65909
PayPoint Plc
PayPoint Group
PayPoint Group
12500000
2021
20211123
competition-related offences
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PayPoint agreed to pay £12.5 million to Ofgem's Energy Industry Voluntary Redress Scheme following and investigation into whether the company had abused a dominant position by using exclusivity clauses in its contracts with energy suppliers and retailers in a way that was likely to restrict or distort competition in the market for the provision of over-the-counter (OTC) energy prepayment services which may have constituted an abuse of a dominant position and a breach of Chapter II of the Competition Act.
agency action
settlement with Ofgem
UK-OFGEM
Office of Gas and Electricity Markets
United Kingdom
publicly traded
financial services
online payments
GB00B02QND93
https://www.ofgem.gov.uk/publications/following-ofgem-competition-act-investigation-paypoint-plc-commits-change-behaviour-and-donate-ps125-million-ofgems-voluntary-redress-fund
UK21-65920
Standard Chartered Bank
Standard Chartered
Standard Chartered
46550000
2021
20211220
financial offences
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The Prudential Regulation Authority imposed a financial penalty on Standard Chartered Bank of £46.55 million for failing to be open and cooperative with the PRA and for failings in its regulatory reporting governance and controls in relation to a tailored PRA liquidity expectation.
agency action
UK-PRA
Prudential Regulation Authority
United Kingdom
publicly traded
financial services
banking
GB0004082847
https://www.bankofengland.co.uk/news/2021/december/pra-final-notice-to-standard-chartered-bank-dated-20-december-2021
UK21-65922
HSBC Bank plc
HSBC
HSBC
63946800
2021
20211217
financial offences
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HSBC agreed to pay £63 million in settlement of a finding by the FCA that the company's anti-money laundering processes had serious failings over a period of eight years.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0005405286
https://www.fca.org.uk/news/press-releases/fca-fines-hsbc-bank-plc-deficient-transaction-monitoring-controls
UK21-65923
National Westminster Bank plc
NatWest Group PLC
NatWest Group PLC
264772619
2021
20211213
financial offences
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NatWest pleaded guilty to three offences of failing to comply with money laundering regulations by accepting £365 million in cheques and cash from a commerical customer with suspicious behaviour that was not acted upon and was not spotted by an incorrect automated transaction monitoring system.
agency action
guilty plea
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://www.fca.org.uk/news/press-releases/natwest-fined-264.8million-anti-money-laundering-failures
UK21-65925
Danske Bank
Danske Bank
Danske Bank
0
2021
20211112
financial offences
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The CMA informed Danske Bank that it believed the company was in breach of the 2002 undertaking not to bundle business current accounts and loans as they restricted customer choice for a second time in 2021, but would take no formal action if the company adhered to an Action Plan to cure the breach.
agency action
UK-CMA
Competition and Markets Authority
Denmark
publicly traded
financial services
banking
DK0010274414
https://www.gov.uk/government/publications/cma-letter-to-danske-bank-on-a-second-breach-of-the-sme-banking-undertakings
UK21-65940
NewDay Ltd.
NewDay Limited
NewDay Limited
0
2021
20211029
consumer-protection-related offences
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The CMA wrote to NewDay Ltd about 5 breaches of the PPI Order. The breaches related to failure to issue Annual Review statements to customers and incorrect information provided in Annual Review statements to PPI customers. NewDay also failed to appoint a PPI Compliance Officer when it acquired its PPI book in 2013. The breaches affected approximately 27,000 customers. NewDay Ltd sent an apology letter to all impacted customers with the offer of a refund of premiums.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
privately held
financial services
consumer lending
https://www.gov.uk/government/publications/cma-letter-to-newday-ltd-about-5-breaches-of-the-ppi-order
UK21-65941
Lloyds Banking Group
Lloyds Banking Group
Lloyds Banking Group
0
2021
20211013
financial offences
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The CMA wrote to Lloyds about a breach of the Retail Banking Market Investigation Order 2017 in relation to the publication of rates for SME lending products. Given action already taken by Lloyds, no further formal enforcement action had been taken at present.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.gov.uk/government/publications/cma-letter-to-lloyds-about-a-breach-of-the-retail-banking-order
UK21-65942
Santander UK plc
Banco Santander
Banco Santander
0
2021
20210924
financial offences
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CMA letter to Santander about a breach of the Retail Banking Order. Given action already taken by Santander, no further formal enforcement action had been taken at present.
agency action
UK-CMA
Competition and Markets Authority
Spain
publicly traded
financial services
banking
ES0113900J37
https://www.gov.uk/government/publications/cma-letter-to-santander-about-a-breach-of-the-retail-banking-order
UK21-65944
Lloyds Banking Group
Lloyds Banking Group
Lloyds Banking Group
0
2021
20210909
financial offences
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The CMA wrote to Lloyds about a breach of the PPI Order by failing to include the monthly PPI benefit value figures in PPI Annual Reviews relating to some of its AXA (TSB) Mortgagesure PPI policies. Given action already taken by Lloyds, no further formal enforcement action had been taken at present.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.gov.uk/government/publications/cma-letter-to-lloyds-banking-group-about-a-breach-of-the-ppi-order
UK21-65946
Barclays Bank UK plc
Barclays
Barclays
0
2022
20220321
consumer-protection-related offences
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The CMA informed Barclays Bank of 13 breaches of the Retail Banking Order through inaccurate publication of information through Open Banking Application Programming Interface
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.gov.uk/government/publications/cma-letter-to-barclays-about-13-breaches-of-the-retail-banking-order
UK21-68567
Lloyds Banking Group plc
Lloyds Banking Group
Lloyds Banking Group
0
2022
20220321
consumer-protection-related offences
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The CMA informed Lloyds Bank of 10 breaches of the Retail Banking Order through inaccurate publication of information through Open Banking Application Programming Interface
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.gov.uk/government/publications/cma-letter-to-lloyds-about-10-breaches-of-the-retail-banking-order
UK21-68568
Barclays Bank UK plc
Barclays
Barclays
0
2022
20220211
consumer-protection-related offences
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The CMA informed Barclays that it had broken the Retail Banking Market Investigation Order by not updating its Service Quality Indicators.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.gov.uk/government/publications/cma-letter-to-barclays-about-one-breach-of-the-retail-banking-order
UK21-68590
HBOS plc
Lloyds Banking Group
Lloyds Banking Group
Scotland
2140
2022
20220216
employment-related offences
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Flexible Working
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://assets.publishing.service.gov.uk/media/622607f2d3bf7f4f04b2b6f5/Ms_K_Scott_v_HBOS_Plc_-_4109548.2021_-_Final.pdf
UK21-68793
BGC Technology International Ltd
BGC Partners
BGC Partners
England and Wales
15725
2022
20220208
employment-related offences
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Age Discrimination, Breach of Contract, Public Interest Disclosure, Redundancy, Unfair Dismissal, Unlawful Deduction from Wages
agency action
UK-ET
Employment Tribunal
United States
publicly traded
financial services
brokerage and financial technology
US05541T1016
https://assets.publishing.service.gov.uk/media/620cca63e90e0710bfc89d53/Mr_M_Reid_-v-_BGC_Technology_International_Limited_-_3213257_2020_-_Consent_Judgment.pdf
UK21-68860
Lloyds Bank plc
Lloyds Banking Group
Lloyds Banking Group
England and Wales
84419
2022
20220124
employment-related offences
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Race Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://assets.publishing.service.gov.uk/media/61faa567d3bf7f78df30b394/Mr_K_Osafo-Agyare__vs_Lloyds_Bank_plc.pdf
UK21-69025
J P Morgan Securities plc
JPMorgan Chase
JPMorgan Chase
England and Wales
1145247
2021
20210629
employment-related offences
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Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United States
publicly traded
financial services
banking & securities
US46625H1005
https://assets.publishing.service.gov.uk/media/61de7e5f8fa8f505893f1cca/Mr_B_Jones_-v-_J_P_Morgan_Securities_plc_-_3201630_2020_-_Schedule_to_Remedy_Judgment.pdf
Penalty is the smallest scheduled remedy judgment
UK21-69390
A J Bell plc
AJ Bell PLC
AJ Bell PLC
England and Wales
20483
2020
20201126
employment-related offences
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Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
investor services
GB00BFZNLB60
https://assets.publishing.service.gov.uk/media/624195c88fa8f5277abd6868/Mr_C_Singleton_v_A_J_Bell_Plc_-_2402284_2020_-_Remedy.pdf
UK21-69427
BNP Paribas London Branch
BNP Paribas
BNP Paribas
England and Wales
2081449
2019
20190830
employment-related offences
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Breach of Contract, Equal Pay Act, Public Interest Disclosure, Sex Discrimination
agency action
UK-ET
Employment Tribunal
France
publicly traded
financial services
banking
FR0000131104
https://assets.publishing.service.gov.uk/media/62050638e90e077f70b3fe80/Ms_S_Macken__vs_BNP_Paribas_SA__London_Branch.pdf
UK21-69480
Barclays Bank Plc
Barclays
Barclays
10860743
2022
20220228
consumer-protection-related offences
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Barclays was fined £783,800 following a finding by the FCA that it failed to conduct business with due skill, care and diligence in providing banking services to Premier FX without checking for deficiencies in the company's activities. Barclays also made a voluntary payment of £10,076,943 to refund the customers who lost money when Premier FX went bankrupt.
agency action
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.fca.org.uk/news/press-releases/barclays-fined-agrees-voluntary-payment-premierfx-customers
UK21-69592
Prudential
Prudential PLC
Prudential PLC
0
2022
20220301
employment-related offences
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agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0007099541
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/CAS-31053-J5J5.pdf
UK21-71124
NatWest Group
NatWest Group PLC
NatWest Group PLC
0
2022
20220622
consumer-protection-related offences
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The CMA informed NatWest that it was in breach of the Retail Banking Order by failing to send Transaction Histories to former customers.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://www.gov.uk/government/publications/cma-letter-to-natwest-on-a-breach-of-the-retail-banking-order
UK21-71183
Virgin Money UK plc
Virgin Money UK PLC
Virgin Money UK PLC
0
2022
20220622
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
The CMA informed Virgin Money that it was in breach of the Retail Banking Order by failing to send Transaction Histories to former customers.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB00BD6GN030
https://www.gov.uk/government/publications/cma-letter-to-virgin-money-on-a-breach-of-the-retail-banking-order
UK21-71184
Bank of Ireland
Bank of Ireland
Bank of Ireland
0
2022
20220622
consumer-protection-related offences
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The CMA informed Bank of Ireland that it was in breach of the Retail Banking Order by failing to send Transaction Histories to former customers.
agency action
UK-CMA
Competition and Markets Authority
Ireland
publicly traded
financial services
banking
IE00BD1RP616
https://www.gov.uk/government/publications/cma-letter-to-bank-of-ireland-on-four-breaches-of-the-retail-banking-order
UK21-71185
HSBC
HSBC
HSBC
0
2022
20220428
consumer-protection-related offences
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The CMA informed HSBC of 11 breaches of the Retail Banking Order through failure to ensure accurate, comprehensive and up to date product and service information is continuously available.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0005405286
https://www.gov.uk/government/publications/cma-letter-to-hsbc-uk-about-11-breaches-of-the-retail-banking-order
UK21-71187
HSBC
HSBC
HSBC
0
2022
20220330
consumer-protection-related offences
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The CMA issued directions to HSBC following an investigation finding it had breached undertakings stopping the bundling of accounts and loans for small and medium sized enterprise customers.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0005405286
https://www.gov.uk/government/publications/sme-banking-2002-behavioural-undertakings-directions-to-hsbc
UK21-71191
JLT Specialty Limited
Marsh & McLennan
Marsh & McLennan
7881700
2022
20220622
financial offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
JLT agreed to pay a £7.8 million fine in settlement of a finding by the FCA that the company had failed to manage its business and risks responsibly and effectively, with financial crime control failings that allowed bribery to take place.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United States
publicly traded
financial services
insurance
US5717481023
https://www.fca.org.uk/news/press-releases/jlt-specialty-limited-fined-7.8m-pounds-financial-crime-control-failings
UK21-72102
GAM International Management Ltd
GAM Holding AG
GAM Holding AG
9103523
2022
20220330
financial offences
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GAM International agreed to pay a £9,103,523 fine following a finding by the FCA that the company failed to manage conflicts of interest with incentives offered by Greenshill Capital to an investment manager.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
Switzerland
publicly traded
financial services
investment management
CH0102659627
https://www.fca.org.uk/news/press-releases/fca-fines-gam-international-management-former-investment-director-timothy-haywood
UK21-72105
East Kent Road Car Company Limited
Deutsche Bank
Stagecoach Group PLC
DWS Infrastructure, owned by Deutsche Bank, acquired Stagecoach later in 2022
Dover
England
0
2022
20220224
safety-related offences
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OTHER PSGR LAND TRANSPORT NEC
agency action
Improvement Notice
312303104
UK-HSE
Health and Safety Executive
Germany
publicly traded
financial services
banking & securities
DE0005140008
https://resources.hse.gov.uk/notices/notices/notice_details.asp?SF=CN&SV=312303104
UK21-73893
National Westminster Bank Plc et al.
NatWest Group PLC
NatWest Group PLC
1820000
2022
20220512
consumer-protection-related offences
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National Westminster Bank Plc, Royal Bank of Scotland Plc, Ulster Bank Ltd and Coutts & Company (the NatWest Group banks) were fined £1.82 million for overcharging interchange fees on credit cards by treating the cards of 'commercial' cards rather than 'consumer' cards. The banks also reimbursed £1.75 million to customers.
agency action
Admission and early disposal
UK-PSR
Payment Systems Regulator
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://www.psr.org.uk/news-updates/latest-news/news/psr-fines-natwest-group-banks-1-82m-for-overcharging-interchange-fees-on-credit-cards/
UK21-74917
Glencore Energy (UK) Ltd
Glencore
Glencore
0
2022
20220621
competition-related offences
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Glencore Energy (UK) Ltd was convicted on charges of bribery brought against it by the Serious Fraud Office (SFO). At Southwark Crown Court, the company admitted to multiple counts of paying bribes to secure access to oil and generate illicit profit. Sentencing was schduled for November 2022.
agency action
UK-SFO
Serious Fraud Office
Switzerland
publicly traded
financial services
commodity trading; mining
JE00B4T3BW64
https://www.sfo.gov.uk/2022/06/21/serious-fraud-office-secures-glencore-conviction-on-seven-counts-of-international-bribery/
UK21-74921
NatWest Group plc
NatWest Group PLC
NatWest Group PLC
600000
2022
20220831
consumer-protection-related offences
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The CMA issued directions to HSBC, including refunds to customers, following an investigation finding it had breached undertakings stopping the bundling of accounts and loans for small and medium sized enterprise customers.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://www.gov.uk/government/news/600-000-in-refunds-over-natwest-bundling
UK21-75000
Metro Bank
Metro Bank PLC
Metro Bank PLC
20773
2022
20220722
consumer-protection-related offences
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The CMA noted that Metro Bank breached the Retail Banking Market Investigation Order 2017 by charging customers above its specified Monthly Maximum Charge for exceeding credit limits on accounts. The bank self-reported the breach and refunded £20,773 in overcharges plus interest.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB00BZ6STL67
https://www.gov.uk/government/publications/cma-takes-action-against-metro-bank-for-breaching-part-7-of-the-retail-banking-order
UK21-75010
Lloyds Banking Group
Lloyds Banking Group
Lloyds Banking Group
0
2022
20220722
consumer-protection-related offences
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The CMA informed Lloyds that it had breached the Retail Banking Market Investigation Order 2017 by failing to provide the correct Service Quality Indicators at its branches, and by failing to publish an accurate business overdraft rate.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.gov.uk/government/publications/cma-takes-action-against-lloyds-banking-group-for-breaching-parts-3-and-8-of-the-retail-banking-order
UK21-75012
Barclays
Barclays
Barclays
0
2022
20220722
consumer-protection-related offences
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The CMA informed Barclays that it had breached the Retail Banking Market Investigation Order 2017 by failing to publish an accurate business overdraft rate.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.gov.uk/government/publications/cma-takes-action-against-barclays-for-breaching-part-8-of-the-retail-banking-order
UK21-75013
Bank of Ireland
Bank of Ireland
Bank of Ireland
0
2022
20220722
consumer-protection-related offences
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The CMA informed the Bank of Ireland that it had breached the Retail Banking Market Investigation Order 2017 by failing to ensure up to date products and service information was available through Open Banking, and by failing to properly display Service Quality Indicators in its mobile banking app.
agency action
UK-CMA
Competition and Markets Authority
Ireland
publicly traded
financial services
banking
IE00BD1RP616
https://www.gov.uk/government/publications/cma-takes-action-against-bank-of-ireland-for-breaching-parts-2-and-3-of-the-retail-banking-order
UK21-75014
HSBC UK Bank plc
HSBC
HSBC
0
2022
20220722
consumer-protection-related offences
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The CMA informed HSBC that it had breached the Retail Banking Market Investigation Order 2017 by failing to ensure Monthly Maximum Charges and overdraft information were available and accurate.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0005405286
https://www.gov.uk/government/publications/cma-takes-action-against-hsbc-for-breaching-parts-7-and-8-of-the-retail-banking-order
UK21-75015
NatWest Group
NatWest Group PLC
NatWest Group PLC
0
2022
20220722
consumer-protection-related offences
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The CMA informed NatWest that it had breached the Retail Banking Market Investigation Order 2017 by failing to ensure up to date products and service information was available through Open Banking, and by failing to share correct loan interest rates.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://www.gov.uk/government/publications/cma-takes-action-against-natwest-for-breaching-parts-2-and-10-of-the-retail-banking-order
UK21-75016
Commerzbank AG
Commerzbank
Commerzbank
England and Wales
185719
2022
20220906
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Maternity and Pregnancy Rights, Public Interest Disclosure, Sex Discrimination
agency action
UK-ET
Employment Tribunal
Germany
publicly traded
financial services
banking
DE000CBK1001
https://assets.publishing.service.gov.uk/media/5bc5bdb740f0b63851879591/Ms_J_Rajput_-v-_Commerzbank_AG_-_Case_2207126_2017_-_Judgment.pdf
UK21-75120
Greater Manchester Buses South Ltd T/a Stagecoach Manchester
Deutsche Bank
Deutsche Bank
England and Wales
4306
2022
20220706
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Breach of Contract, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
Germany
publicly traded
financial services
banking & securities
DE0005140008
https://assets.publishing.service.gov.uk/media/62d181fa8fa8f50bfe0edcb3/Mr_S_Thom_v_Greater_Manchester_Buses_South_LTD_t.a._Stagecoach_Manchester_-_2415113_2021_-_Judgment.pdf
UK21-75731
Societe Generale Equipment Finance Ltd
Societe Generale
Societe Generale
England and Wales
1115
2022
20220520
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Transfer of Undertakings
agency action
UK-ET
Employment Tribunal
France
publicly traded
financial services
banking
FR0000130809
https://assets.publishing.service.gov.uk/media/62b5872de90e0765d7559c5a/Mr_F_Mwathi_v_Societe_Generale_Equipment_Finance_Ltd_2305844-2021_Judgment_20.05.2022.pdf
UK21-76149
East London Bus & Coach Company Ltd
Deutsche Bank
Stagecoach Group PLC
DWS Infrastructure, owned by Deutsche Bank, acquired Stagecoach later in 2022
England and Wales
13668
2022
20220211
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
Germany
publicly traded
financial services
banking & securities
DE0005140008
https://assets.publishing.service.gov.uk/media/63247617e90e0773779d8b6a/Mr_Z_Farooqi_-v-_East_London_Bus___Coach_Company_Limited_-_3220759_2020_-_Remedy_Judgment.pdf
UK21-76310
Citigroup Global Markets Limited
Citigroup
Citigroup
12553800
2022
20220819
financial offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Citigroup Global Markets was fined £12.5 million after a finding by the FCA that the company failed to properly implement the Market Abuse Regulation trade surveillance requirements, meaning it could not effectively monitor its trading activities for certain types of inside dealing and market manipulation.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United States
publicly traded
financial services
banking & securities
US1729674242
https://www.fca.org.uk/news/press-releases/fca-fines-citigroups-international-broker-dealer-failures-detection-market-abuse
UK21-76620
Royal London Mutual Insurance Society Limited
Royal London Mutual Insurance
Royal London Mutual Insurance
100
2022
20220703
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Administration
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
mutual
financial services
insurance
https://www.pensions-ombudsman.org.uk/decision/2022/cas-41940-x1r4-cas-67647-w7k9/royal-london-personal-pension-plan-cas-41940-x1r4-cas
UK21-79518
Mercer Limited
Marsh & McLennan
Marsh & McLennan
2000
2022
20220627
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Misquote/misinformation
agency action
UK-TPO
The Pensions Ombudsman
United States
publicly traded
financial services
insurance
US5717481023
https://www.pensions-ombudsman.org.uk/decision/2022/cas-50949-z3m6/jaguar-pension-plan-cas-50949-z3m6
UK21-79520
Lloyds Bank Corporate Markets Plc
Lloyds Banking Group
Lloyds Banking Group
498000
2022
20220815
financial offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
LBCM, Jersey Branch has been issued with a £498,000.00 civil financial penalty for breaching its anti-money-laundering regulatory requirements in relation to one correspondent banking relationship.
agency action
UK-JFSC
Jersey Financial Services Commission
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.jerseyfsc.org/news-and-events/jfsc-fines-lloyds-bank-corporate-markets-plc-jersey-branch-lbcm-jersey-branch-for-regulatory-and-amlcft-breaches/
UK21-79881
BNY Mellon Corporate Trustee Services Ltd TCSP
Bank of New York Mellon
Bank of New York Mellon
9465
2021
20210731
financial offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Included in a list of companies that did not comply with anti-money-laundering regulations. This breach is for failing to apply for registration at the required time.
agency action
UK-HMRC
HM Revenue & Customs
United States
publicly traded
financial services
banking
US0640581007
https://www.gov.uk/government/publications/businesses-not-complying-with-money-laundering-regulations-in-2018-to-2019/list-of-businesses-for-tax-year-2019-to-2020-that-have-not-complied-with-the-2017-money-laundering-regulations
UK21-80073
Northern Bank Limited dba Danske Bank
Danske Bank
Danske Bank
0
2022
20221111
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
The CMA informed Danske that it had breached the Retail Banking Market Investigation Order 2017 by failing to ensure up to date product and fees information was available.
agency action
UK-CMA
Competition and Markets Authority
Denmark
publicly traded
financial services
banking
DK0010274414
https://www.gov.uk/government/publications/cma-takes-action-against-danske-for-breaching-part-2-of-the-retail-banking-order
UK21-83130
NatWest Group plc
NatWest Group PLC
NatWest Group PLC
0
2022
20221111
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
The CMA informed NatWest that it had breached the Retail Banking Market Investigation Order 2017 by failing to display the correct APR for an SME lending product.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://www.gov.uk/government/publications/cma-takes-action-against-natwest-for-breaching-part-8-of-the-retail-banking-order
UK21-83131
Nationwide Building Society
Nationwide Building Society
Nationwide Building Society
0
2022
20221111
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
The CMA informed NatWest that it had breached the Retail Banking Market Investigation Order 2017 by failing to publish accurate information through its Open Data APIs.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
mutual
financial services
building society
https://www.gov.uk/government/publications/cma-takes-action-against-nationwide-for-breaching-part-2-of-the-retail-banking-order
UK21-83132
Barclays
Barclays
Barclays
1000000
2022
20221109
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
After the CMA informed Barclays that it had breached the CMA PP order by failing to send reminders to its former Mortgage Payment Protection Insurance policy holders, the company decided to pay an estimated £1 million in refunds and goodwill payments to customers that may have kept their policies for longer than necessary or stopped checking for cheaper alternatives.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.gov.uk/government/news/barclays-customers-to-receive-up-to-1m-for-ppi-breaches
UK21-83133
NewDay Limited
NewDay Limited
NewDay Limited
0
2022
20221029
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
The CMA informed NewDay that it had breached the Payment Protection Insurance Market Investigation Order 2011 by failing to send annual reviews to customers, and failing to appoint a PPI Compliance Officer.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
privately held
financial services
consumer lending
https://www.gov.uk/government/publications/cma-letter-to-newday-ltd-about-5-breaches-of-the-ppi-order
UK21-83134
Glencore Energy (UK) Ltd
Glencore
Glencore
280965092
2022
20221103
competition-related offences
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Glencore Energy (UK) Ltd was convicted on charges of bribery brought against it by the Serious Fraud Office (SFO). At Southwark Crown Court, the company admitted to multiple counts of paying bribes to secure access to oil and generate illicit profit and was sentenced to pay £280 million.
agency action
UK-SFO
Serious Fraud Office
Switzerland
publicly traded
financial services
commodity trading; mining
JE00B4T3BW64
https://www.sfo.gov.uk/2022/11/03/glencore-energy-uk-ltd-will-pay-280965092-95-million-over-400-million-usd-after-an-sfo-investigation-revealed-it-paid-us-29-million-in-bribes-to-gain-preferential-access-to-oil-in-africa/
UK21-83167
Barclays
Barclays
Barclays
8400000
2022
20221201
consumer-protection-related offences
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The Payment Systems Regulator fined Barclays for failing to comply with the Interchange Fee Regulation (IFR) because it did not provide retailers with full information about the costs of card services it supplied.
agency action
UK-PSR
Payment Systems Regulator
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.psr.org.uk/news-updates/latest-news/news/psr-fines-barclays-bank-8-4m-for-breaking-interchange-fee-rule/
UK21-83193
Metro Bank PLC
Metro Bank PLC
Metro Bank PLC
10002300
2022
20221212
financial offences
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Metro Bank was fined £10 million in a finding by the FCA that the bank knowingly misreported its prudential position, publishing unqualified information that it knew would require a substantial revision and thus failing to take reasonable care to ensure its financial reports were not false or misleading.
agency action
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB00BZ6STL67
https://www.fca.org.uk/news/press-releases/fca-fines-metro-bank-plc-decision-notices-two-former-executives
UK21-83196
Santander UK Plc
Banco Santander
Banco Santander
107793300
2022
20221209
financial offences
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Santander was fined £107 million in settlement of a finding by the FCA that the bank failed to properly oversee and manage its anti money-laundering systems over several years.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
Spain
publicly traded
financial services
banking
ES0113900J37
https://www.fca.org.uk/news/press-releases/fca-fines-santander-uk-repeated-anti-money-laundering-failures
UK21-83197
Julius Baer International Limited
Julius Baer Group
Julius Baer Group
18022500
2022
20221130
financial offences
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Julius Baer was fined £18 million in settlement of a finding by the FCA that the company failed to take reasonable care to organise and control its affairs and failed to be open and cooperative with the FCA, with an alleged conflict of interest and fraud with improper commission payment for FX transactions that was not reported to the FCA when uncovered.
agency action
UK-FCA
Financial Conduct Authority
Switzerland
publicly traded
financial services
banking
CH0102484968
https://www.fca.org.uk/news/press-releases/fca-fines-julius-baer-international-limited-ps18m-and-publishes-decision-notices-three-individuals
UK21-83200
HBOS plc
Lloyds Banking Group
Lloyds Banking Group
Scotland
22304
2022
20220926
employment-related offences
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Breach of Contract, Unfair Dismissal
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://assets.publishing.service.gov.uk/media/634ffc438fa8f5346f4fea82/Ms_V_Lindsay_v_HBOS_Plc_-_4103007-2022_-_Final.pdf
UK21-84103
Guaranty Trust Bank (UK) Limited
Guaranty Trust Bank PLC
Guaranty Trust Bank PLC
7671800
2023
20230110
financial offences
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Guaranty Trust Bank agreed to pay a £7,671,800 fine in settlement of finding by the FCA that the bank failed to undertake adequate customer risk assessments, often not assessing or documenting the money laundering risks posed by its customers.
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
Nigeria
publicly traded
financial services
banking and asset management
NGGUARANTY06
https://www.fca.org.uk/news/press-releases/fca-fines-guaranty-trust-bank-uk-limited-ps76-million-further-failures-its-anti-money-laundering
UK21-84412
TSB Bank plc
Banco de Sabadell
Banco de Sabadell
29750000
2022
20221220
financial offences
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TSB agreed to pay a £29,750,000 fine to the FCA and a £18,900,000 fine to the PRA in settlement of findings that the bank failed to properly manage the operational risks of outsourcing arrangements leading to an IT upgrade programme failure causing customers to be unable to access banking services.
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
Spain
publicly traded
financial services
banking
ES0113860A34
https://www.fca.org.uk/news/press-releases/tsb-fined-48m-operational-resilience-failings
UK21-84413
Generali Worldwide Insurance Company Limited
Assicurazioni Generali
Assicurazioni Generali
Guernsey
British Crown Dependency
150000
2013
20131115
financial offences
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Generali was fined £150,000 in a decision by the GFSC that the company had failed to comply with the governance code, regulation and handbook requirements for insurance companies.
UK-GFSC
Guernsey Financial Services Commission
Italy
publicly traded
financial services
insurance
IT0000062072
https://www.gfsc.gg/commission/enforcement/public-statements
UK21-84439
Alliance Medical Limited
iCON Infrastructure
Life Healthcare Group
Life Healthcare sold Alliance Medical to iCON Infrastructure in 2024
Leeds
England
311382
2022
20220930
safety-related offences
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Alliance Medical Limited pleaded guilty to breaches of the Ionising Radiations Regulations 2017 and were fined £300,000 and ordered to pay costs of £11,382 following an incident in which employees were exposed to radiation levels in excess of the legal annual dose limit.
Guilty Plea
UK-HSE
Health and Safety Executive
United Kingdom
privately held
financial services
infrastructure investments
https://press.hse.gov.uk/2022/09/30/company-fined-for-workers-excessive-radiation-exposure/
UK21-85522
Alliance Medical Radiopharmacy Limited
iCON Infrastructure
Life Healthcare Group
Life Healthcare sold Alliance Medical to iCON Infrastructure in 2024
Keele
England
131382
2022
20220930
safety-related offences
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Alliance Medical Radiopharmacy Limited pleaded guilty to breaches of the Ionising Radiations Regulations 2017 and were fined £120,000 and ordered to pay costs of £11,382 following an incident in which employees were exposed to radiation levels in excess of the legal annual dose limit.
Guilty Plea
UK-HSE
Health and Safety Executive
United Kingdom
privately held
financial services
infrastructure investments
https://press.hse.gov.uk/2022/09/30/company-fined-for-workers-excessive-radiation-exposure/
UK21-85523
Stagecoach Devon Limited
Deutsche Bank
Deutsche Bank
Torquay
England
398000
2022
20220809
safety-related offences
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Stagecoach Devon Limited pleaded guilty to breaching Section 2(1) of the Health and Safety at Work etc. Act 1974 after one of its employees was crushed between a reversing bus and a stationary vehicle. The company was fined £380,000 and ordered to pay costs of £18,000.
Guilty Plea
UK-HSE
Health and Safety Executive
Germany
publicly traded
financial services
banking & securities
DE0005140008
https://press.hse.gov.uk/2022/08/09/employee-crushed-by-bus-suffers-life-changing-injuries/
UK21-86360
TSB Bank plc
Banco de Sabadell
Banco de Sabadell
18900000
2022
20221220
financial offences
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TSB agreed to pay a £29,750,000 fine to the FCA and a £18,900,000 fine to the PRA in settlement of findings that the bank failed to properly manage the operational risks of outsourcing arrangements leading to an IT upgrade programme failure causing customers to be unable to access banking services.
settlement of PRA Decision
UK-PRA
Prudential Regulation Authority
Spain
publicly traded
financial services
banking
ES0113860A34
https://www.bankofengland.co.uk/news/2022/december/tsb-fined-for-operational-resilience-failings
UK21-86686
Aviva Life & Pensions UK Limited
Aviva PLC
Aviva PLC
500
2022
20221223
employment-related offences
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Transfers: general
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2022/cas-69704-z0j8/aviva-personal-pension-plan-cas-69704-z0j8
UK21-86709
ReAssure
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
1000
2022
20221117
employment-related offences
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Administration
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2022/cas-83021-f1y0/reassure-stakeholder-pension-plan-cas-83021-f1y0
UK21-86732
Aviva
Aviva PLC
Aviva PLC
3000
2022
20221115
employment-related offences
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Failure to provide information/act on instructions
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2022/cas-14193-k6y0-and-cas-47697-n3q4/aviva-buy-out-policy-policy-copenhagen-re-uk
UK21-86738
Royal London
Royal London Mutual Insurance
Royal London Mutual Insurance
1000
2022
20221028
employment-related offences
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Benefits: refusal/failure to pay or late payment
UK-TPO
The Pensions Ombudsman
United Kingdom
mutual
financial services
insurance
https://www.pensions-ombudsman.org.uk/decision/2022/cas-30095-h3z1/royal-london-personal-pension-scheme-no-2-cas-30095-h3z1
UK21-86744
ReAssure Limited
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
3000
2022
20221027
employment-related offences
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Failure to provide information/act on instructions
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2022/cas-40374-q1q2/reassure-personal-pension-plan-cas-40374-q1q2
UK21-86748
Southern Water
Macquarie
Macquarie
0
2022
20221208
consumer-protection-related offences
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Northumbrian Water, Southern Water, South West Water, Thames Water, Welsh Water and Yorkshire Water were named as the worst performing companies operationally in its annual assessment for 2021-2022. Ofwat required these companies to return almost £120 million to customers in its Final Determinations. The payments required are not listed as penalty amounts and are not included here.
UK-OFWAT
Water Services Regulation Authority
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://www.ofwat.gov.uk/pn-39-22-worst-performing-water-and-wastewater-companies-called-out-in-latest-ofwat-assessments/
UK21-86763
HSBC UK Bank plc
HSBC
HSBC
0
2023
20230119
consumer-protection-related offences
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The CMA informed HSBC that it had breached the Retail Banking Order by publishing inaccurate information, or not publishing required information, through its Open Data APIs on more than 50 occasions.
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0005405286
https://www.gov.uk/government/publications/cma-takes-action-against-hsbc-for-breaching-part-2-of-the-retail-banking-order
UK21-86768
Associated Waste Management Limited
Macquarie
Macquarie
Leeds
England
776170
2021
20211026
safety-related offences
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Associated Waste Management Limited of St Bernards Mill in Gelderd Road, Gildersome, Morley, Leeds pleaded guilty to breaching Sections 2(1) and 3(1) of the Health & Safety at Work etc Act 1974 after an employee and an agency worker both fell from height.
Guilty Plea
UK-HSE
Health and Safety Executive
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://webarchive.nationalarchives.gov.uk/ukgwa/20220701163029/https://press.hse.gov.uk/2021/10/26/waste-management-company-fined-after-workers-suffered-multiple-fractures/
UK21-86825
Commerzbank AG
Commerzbank
Commerzbank
England and Wales
300684
2022
20220906
employment-related offences
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Maternity and Pregnancy Rights, Public Interest Disclosure, Sex Discrimination
UK-ET
Employment Tribunal
Germany
publicly traded
financial services
banking
DE000CBK1001
https://assets.publishing.service.gov.uk/media/641834068fa8f55568784e5f/Ms_Jagruti_Rajput_v_Commerzbank_AG.pdf
UK21-89050
AJ Bell Investcentre​
AJ Bell PLC
AJ Bell PLC
10988
2023
20230313
employment-related offences
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UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
investor services
GB00BFZNLB60
https://www.pensions-ombudsman.org.uk/decision/2023/cas-43661-g4n2/aj-bell-youinvest-sipp-cas-43661-g4n2
UK21-90754
Prudential
Prudential PLC
Prudential PLC
500
2023
20230310
employment-related offences
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UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0007099541
https://www.pensions-ombudsman.org.uk/decision/2023/cas-60966-t7c0/nhs-avc-scheme-cas-60966-t7c0
UK21-90758
Deutsche Bank
Deutsche Bank
Deutsche Bank
0
2023
20230524
Competition-related Offences
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Deutsche Bank alerted the CMA to the alleged sharing of sensitive information by 5 major banks by traders who used private chatrooms to share pricing and trading strategies of UK government bonds. The bank admitted to involvement in anti-competitive activity and as the first to cooperate would not be fined under the CMA's leniency policy.
Settlement and Leniency agreement with CMA
UK-CMA
Competition and Markets Authority
Germany
publicly traded
financial services
banking & securities
DE0005140008
https://www.gov.uk/government/news/cma-provisionally-finds-5-banks-broke-competition-law-on-uk-bonds
UK21-91861
Citigroup Global Markets Limited
Citigroup
Citigroup
0
2023
20230524
Competition-related Offences
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Citi admitted their involvement in the alleged sharing of sensitive information by 5 major banks by traders who used private chatrooms to share pricing and trading strategies of UK government bonds. The bank admitted to involvement in anti-competitive activity and any fine determined at the end of the investigation would be reduced under the CMA's leniency policy.
Settlement and Leniency agreement with CMA
UK-CMA
Competition and Markets Authority
United States
publicly traded
financial services
banking & securities
US1729674242
https://www.gov.uk/government/news/cma-provisionally-finds-5-banks-broke-competition-law-on-uk-bonds
UK21-91862
Southern Water
Macquarie
Macquarie
England
0
2023
20230109
environment-related offences
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Southern Water was issued with a caution following the supply of water to consumers which was unfit for human consumption. The company subsequently introduced changes to their policy, procedures and training to prevent a recurrence.
UK-DWI
Drinking Water Inspectorate
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://dwi-content.s3.eu-west-2.amazonaws.com/wp-content/uploads/2023/01/25104346/Cautions-1.pdf
UK21-91908
Southern Water Services Ltd
Macquarie
Macquarie
Hove
England
65571
2022
20220524
environment-related offences
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Regulation 33(3)(a) - applying or introducing a substance or product into water in contravention of Regulation 31(1)
UK-DWI
Drinking Water Inspectorate
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://dwi-content.s3.eu-west-2.amazonaws.com/wp-content/uploads/2020/10/30140202/Prosecutions_may22.pdf
UK21-91909
Southern Water Services Ltd
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Newport
England
109620
2018
20180810
environment-related offences
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Section 70 supply of water unfit (discoloured and highly turbid)
UK-DWI
Drinking Water Inspectorate
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://dwi-content.s3.eu-west-2.amazonaws.com/wp-content/uploads/2020/10/30140202/Prosecutions_may22.pdf
UK21-91912
Southern Water Services Ltd
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Southampton
England
530000
2017
20170825
environment-related offences
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Section 70 supply of water unfit for human consumption and use of non-approved products (Reg 31)
UK-DWI
Drinking Water Inspectorate
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://dwi-content.s3.eu-west-2.amazonaws.com/wp-content/uploads/2020/10/30140202/Prosecutions_may22.pdf
UK21-91915
Southern Water
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
West Hampshire
England
26498
2012
20120809
environment-related offences
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Section 70 supply of water unfit (discoloured)
UK-DWI
Drinking Water Inspectorate
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://dwi-content.s3.eu-west-2.amazonaws.com/wp-content/uploads/2020/10/30140202/Prosecutions_may22.pdf
UK21-91922
Southern Water
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
Chatham
England
31447
2010
20100517
environment-related offences
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Regulation 33 - breach of Regulation 26 (supply inadequately treated and disinfected water)
UK-DWI
Drinking Water Inspectorate
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://dwi-content.s3.eu-west-2.amazonaws.com/wp-content/uploads/2020/10/30140202/Prosecutions_may22.pdf
UK21-91923
Southern Water
Macquarie
Macquarie
England
0
2022
20220721
environment-related offences
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Southern Water was issued with a warning letter following an event at Testwood works where issues of the operation of the auto-coagulation and UV systems led to treated water storage levels becoming low, resulting in discoloured and unwholesome water being supplied which was rejected by consumers. The company has an enforcement notice (SRN3911) in place which include steps to upgrade the treatment process at Testwood works.
UK-DWI
Drinking Water Inspectorate
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://www.dwi.gov.uk/press-media/warning-letters/
UK21-91927
Southern Water
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In September 2021 a fund managed by Macquarie acquired a majority stake.
England
0
2021
20210316
environment-related offences
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Southern Water was issued with a warning letter after it emerged in 2015 that the company had been bypassing fail-safe mechanisms at treatment works in Kent. In some cases this was done deliberately, and the company admitted supplying inadequately disinfected water as a consequence.
UK-DWI
Drinking Water Inspectorate
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://www.dwi.gov.uk/press-media/warning-letters/
UK21-91929
BNP Paribas Real Estate Advisory & Property Management UK Limited
BNP Paribas
BNP Paribas
London
England
933
2023
20230621
employment-related offences
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Employer named by the government for failing to pay the minimum wage. Penalty is the amount of wage arrears repaid. Companies were also liable for financial penalties for the breaches, but the amounts were not provided.
UK-BEIS
Department for Business, Energy & Industrial Strategy
France
publicly traded
financial services
banking
FR0000131104
https://www.gov.uk/government/news/more-than-200-companies-named-for-not-paying-staff-minimum-wage
UK21-92458
Co-operative Bank plc
Co-operative Bank
Co-operative Bank
England and Wales
19191
2023
20230328
employment-related offences
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Disability Discrimination
UK-ET
Employment Tribunal
United Kingdom
privately held
financial services
banking
https://assets.publishing.service.gov.uk/media/643e5b118b86bb0013f1b3e0/Miss_C_Cash_v_The_Co-operative_Bank_PLC_2402565_2022_.pdf
UK21-93276
Northern Bank Ltd
Danske Bank
Danske Bank
2000
2019
20190502
consumer-protection-related offences
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Settlement of discrimination case.
UK-ECNI
Equality Commission for Northern Ireland
Denmark
publicly traded
financial services
banking
DK0010274414
https://www.equalityni.org/Footer-Links/News/Individuals/Deaf-woman-settles-disability-discrimination-case
UK21-93616
Nationwide Building Society
Nationwide Building Society
Nationwide Building Society
0
2023
20230725
consumer-protection-related offences
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The CMA notified Nationwide about breaches of the Retail Banking Order when it failed to provide an estimated 51,185 Payment Transaction Histories to former PCA holders between when Part 5 of the Order came into effect in February 2018 and May 2023. Nationwide had taken steps to end the breaches and to prevent a recurrence.
UK-CMA
Competition and Markets Authority
United Kingdom
mutual
financial services
building society
https://www.gov.uk/government/publications/cma-takes-action-against-nationwide-for-breaching-part-5-of-the-retail-banking-order
UK21-96061
TSB Bank plc
Banco de Sabadell
Banco de Sabadell
0
2023
20230725
consumer-protection-related offences
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The CMA notified TSB about breaches of the Retail Banking Order when it failed to send 105,607 Payment Transaction Histories to former BCA and PCA customers between April 2022 and 20 March 2023. TSB had taken steps to end the breaches and to prevent a recurrence.
UK-CMA
Competition and Markets Authority
Spain
publicly traded
financial services
banking
ES0113860A34
https://www.gov.uk/government/publications/cma-takes-action-against-tsb-for-breaching-part-5-of-the-retail-banking-order
UK21-96062
HSBC UK Bank plc
HSBC
HSBC
0
2023
20230725
consumer-protection-related offences
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The CMA notified HSBC about breaches of the Retail Banking Order when it failed to send an estimated 12,200 Payment Transaction Histories to former BCA holders between when Part 5 of the Order came into effect in February 2018 and December 2022. HSBC had taken steps to end the breaches and to prevent a recurrence.
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0005405286
https://www.gov.uk/government/publications/cma-takes-action-against-hsbc-for-breaching-part-5-of-the-retail-banking-order
UK21-96063
NatWest Group plc
NatWest Group PLC
NatWest Group PLC
0
2023
20230815
consumer-protection-related offences
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The CMA notified Natwest about breaches of the Retail Banking Order when it failed to publish service quality information posters prominently in some NatWest and Ulster Bank branches, and published the interest rate for SME loans instead of the APR on one webpage for each of these three brands within its group: NatWest, Royal Bank of Scotland and Ulster Bank.
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://www.gov.uk/government/publications/cma-takes-action-against-natwest-for-breaching-part-3-and-part-8-of-the-retail-banking-order
UK21-96064
Co-operative Bank
Co-operative Bank
Co-operative Bank
0
2023
20230815
consumer-protection-related offences
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The CMA notified The Co-op Bank about breaches of the Retail Banking Order when it failed to publish up-to-date service quality information on its website between 15 August 2022 and 3 October 2022. The Co-operative Bank had taken steps to end the breach and to prevent a recurrence.
UK-CMA
Competition and Markets Authority
United Kingdom
privately held
financial services
banking
https://www.gov.uk/government/publications/cma-takes-action-against-the-co-operative-bank-for-breaching-part-3-and-article-56-of-the-retail-banking-order
UK21-96065
Bank of Ireland
Bank of Ireland
Bank of Ireland
Belfast
Northern Ireland
18483
2021
20210730
employment-related offences
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UK-ECNI
Equality Commission for Northern Ireland
Ireland
publicly traded
financial services
banking
IE00BD1RP616
https://www.equalityni.org/Footer-Links/News/Individuals/Sexual-harassment-case-against-Bank-of-Ireland
UK21-96092
Morgan Stanley & Co. International plc
Morgan Stanley
Morgan Stanley
5411149
2023
20230823
competition-related offences
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Morgan Stanley admitted to breaching the REMIT enforcement regulations because it failed to take reasonable steps to prevent the use of WhatsApp instant messages, that it could not ensure were recorded and retained, by employees, when discussing energy market transactions. The company agreed to pay a £7,730,213 penalty, reduced to £5,411,149 for early settlement.
Settlement with Ofgem
UK-OFGEM
Office of Gas and Electricity Markets
United States
publicly traded
financial services
financial services
US6174464486
https://www.ofgem.gov.uk/publications/finding-morgan-stanley-co-international-plc-has-breached-regulation-8-electricity-and-gas-market-integrity-and-transparency-enforcement-etc-regulations-2013-remit-enforcement-regulations
UK21-96106
National Westminster Bank plc
NatWest Group PLC
NatWest Group PLC
England and Wales
87699
2023
20230211
employment-related offences
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Disability Discrimination, Unfair Dismissal
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking & securities
GB00B7T77214
https://assets.publishing.service.gov.uk/media/64c7cb6cd8b1a70011b05e02/Adeline_Willis__vs__Royal_Bank_Of_Scotland_Plc.pdf
UK21-96627
Swiss Re Corporate Solutions Services Ltd
Swiss Re
Swiss Re
England and Wales
1287
2023
20230812
employment-related offences
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Maternity and Pregnancy Rights, Race Discrimination, Sex Discrimination, Unfair Dismissal
UK-ET
Employment Tribunal
Switzerland
publicly traded
financial services
insurance
CH0126881561
https://assets.publishing.service.gov.uk/media/64e5cdde4002ee001157b545/Ms_H_Sommer__vs_Swiss_Re_Corporate_Solutions_Services_Ltd..pdf
UK21-96869
Direct Line Insurance Services Ltd
Direct Line Insurance Group PLC
Direct Line Insurance Group PLC
England and Wales
64645
2023
20230804
employment-related offences
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Age Discrimination, Disability Discrimination, Sex Discrimination, Unfair Dismissal
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
insurance
GB00BY9D0Y18
https://assets.publishing.service.gov.uk/media/64e7610fdb1c07000d22b3b9/Mrs_M_Lynskey_v_Direct_Line_Insurance_Services_Ltd_-Judgment_2.pdf
UK21-96897
Buck Consultants Limited
Arthur J. Gallagher & Co.
H.I.G. Capital
Gallagher acquired Buck from H.I.G. in 2023.
0
2022
20220404
employment-related offences
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Company issued with a warning notice by the EHRC for failing to publish their gender pay gap information by the 4th April of each year.
UK-EHRC
Equality and Human Rights Commission
United States
publicly traded
financial services
insurance
US3635761097
https://www.equalityhumanrights.com/en/bylchau-cyflog/gender-pay-gap-our-enforcement-action
UK21-97159
Roadchef Ltd
Macquarie
Antin Infrastructure Partners
Macquarie acquired Roadchef from Antin Infrastructure in 2022.
Wales
0
2020
20200130
environment-related offences
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Warning issued by Natural Resources Wales for a water quality offence under the Environmental Permitting (England and Wales) Regulations 2016
9964
UK-NRW
Natural Resources Wales
Australia
publicly traded
financial services
financial services
AU000000MQG1
contained in a response to a Freedom of Information request received on 10 October 2023.
UK21-100486
Aviva
Aviva PLC
Aviva PLC
0
2023
20230829
employment-related offences
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UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance
GB0002162385
https://www.pensions-ombudsman.org.uk/decision/2023/cas-50394-v0b0/csm-united-kingdom-limited-generation-group-pension-scheme-cas-50394
UK21-101146
ReAssure Ltd
Phoenix Group Holdings PLC
Phoenix Group Holdings PLC
1000
2023
20230823
employment-related offences
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UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
insurance and retirement services
GB00BGXQNP29
https://www.pensions-ombudsman.org.uk/decision/2023/cas-77795-p0x4/reassure-personal-pension-plan-cas-77795-p0x4
UK21-101149
Southern Water
Macquarie
Macquarie
England and Wales
0
2023
20230926
consumer-protection-related offences
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One of the water companies ordered to return a total of £114m to customers for under-performance in the Ofwat 2022-2023 Water Company Performance Report. The payments required are not listed as penalty amounts and are not included here.
UK-OFWAT
Water Services Regulation Authority
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://www.ofwat.gov.uk/water-companies-to-return-114m-to-customers-for-under-performance/
UK21-101187
Lloyds Banking Group
Lloyds Banking Group
Lloyds Banking Group
4315000
2013
20130215
consumer-protection-related offences
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Lloyds Banking Group paid a £4.3 million fine in settlement of a finding by the FSA that the companies failed to repay compensation for mis-selling Payment Protection Insurance in a timely manner.
settlement of FSA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.fca.org.uk/publication/final-notices/lloyds-banking-group.pdf
UK21-101376
DB UK Bank Limited dba DB Mortgages
Deutsche Bank
Deutsche Bank
2340000
2010
20100915
financial offences
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DB Mortgages paid a £840,000 fine in settlement of a finding by the FSA that the company had irresponsible lending practices and unfair treatment of customers in arrears. The company also agreed to pay an estimated £1.5 million redress to customers.
settlement of FSA Decision
UK-FSA
Financial Services Authority
Germany
publicly traded
financial services
banking & securities
DE0005140008
https://webarchive.nationalarchives.gov.uk/20130412013953/http://www.fsa.gov.uk/pages/library/communication/pr/2011/025.shtml
UK21-101378
Bank of Ireland UK
Bank of Ireland
Bank of Ireland
0
2023
20231215
consumer-protection-related offences
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Bank of Ireland UK was officially reprimanded by the ICO for sending incorrect customer balances to credit reference agencies, a breach of data protection law by failing to ensure personal data was accurate.
UK-ICO
Information Commissioner's Office
Ireland
publicly traded
financial services
banking
IE00BD1RP616
https://ico.org.uk/about-the-ico/media-centre/news-and-blogs/2023/12/bank-of-ireland-uk-reprimanded-for-inaccurate-data-on-customers-accounts/
UK21-101587
Nationwide Building Society
Nationwide Building Society
Nationwide Building Society
England and Wales
345708
2021
20210314
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination, Unfair Dismissal
UK-ET
Employment Tribunal
United Kingdom
mutual
financial services
building society
https://assets.publishing.service.gov.uk/media/65118d4606e1ca000d616160/Mrs_J_Follows_vs_Nationwide_Building_Society.pdf
UK21-105494
Scottish Widows
Lloyds Banking Group
Lloyds Banking Group
500
2023
20231026
employment-related offences
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UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://www.pensions-ombudsman.org.uk/decision/2023/cas-56114-t8j1/civil-service-pension-scheme-cas-56114-t8j1
UK21-107300
Roadchef Limited
Macquarie
Antin Infrastructure Partners
Macquarie acquired Roadchef from Antin Infrastructure later in 2022.
0
2022
20220308
competition-related offences
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The CMA has accepted commitments offered by Gridserve Holdings Limited, MOTO Hospitality Limited and MOTO Holdings Limited, Roadchef Limited and Extra MSA Property (UK) Limited and a number of its subsidiaries, that address the CMA's competition concerns resulting from long-term exclusive arrangements for the supply of electric vehicle chargepoints on or near motorways under Chapter I and II of the Competition Act 1998.
UK-CMA
Competition and Markets Authority
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://www.gov.uk/cma-cases/investigation-into-the-supply-of-electric-vehicle-chargepoints-on-or-near-motorways
UK21-107353
Lloyds Banking Group plc
Lloyds Banking Group
Lloyds Banking Group
England and Wales
473148
2023
20230804
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination, Unfair Dismissal
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0008706128
https://assets.publishing.service.gov.uk/media/659d5861aaae22001356dc89/Mr_C_Borg-Neal__vs_Lloyds_Banking_Group_PLC.pdf
UK21-109677
HSBC Bank plc and HSBC UK Bank plc
HSBC
HSBC
57417500
2024
20240130
financial offences
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HSBC was fined £57 million following a finding by the PRA that they failed to put in place adequate systems and controls, and governance, to ensure the integrity of critical information which the Financial Services Compensation Scheme relies upon to make prompt payments to depositors in the event of a firm failure.
UK-PRA
Prudential Regulation Authority
United Kingdom
publicly traded
financial services
banking
GB0005405286
https://www.bankofengland.co.uk/news/2024/january/pra-fines-hsbc-for-failures-in-deposit-protection-identification-and-notifcation
UK21-109737
Credit Suisse International and Credit Suisse Securities (Europe) Ltd
UBS
UBS
87082000
2023
20230724
financial offences
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Credit Suisse was fined £87 million in a finding by an investigation involving the PRA of significant failures in risk management and governance in connection with the firms' exposure (by providing prime brokerage services and equity total return swaps) to Archegos Capital Management, which defaulted in 2021 with approximately $5.1 billion of losses.
UK-PRA
Prudential Regulation Authority
Switzerland
publicly traded
financial services
banking & securities
CH0244767585
https://www.bankofengland.co.uk/news/2023/july/the-pra-imposes-record-fine-of-87m-on-credit-suisse
UK21-109738
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2014
20141106
environment-related offences
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Environment Permitting violation - water quality
27288
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109829
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2014
20141223
environment-related offences
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Environment Permitting violation - water quality
57244
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109830
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2014
20141223
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environment Permitting violation - water quality
57248
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109831
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2014
20141223
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environment Permitting violation - water quality
57242
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109832
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2014
20141202
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environment Permitting violation - water quality
70911
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109833
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2014
20141028
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environment Permitting violation - water quality
70911
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109834
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2014
20140904
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environment Permitting violation - water quality
23081
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109835
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2014
20140904
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environment Permitting violation - water quality
21850
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109836
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2014
20140903
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environment Permitting violation - water quality
25884
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109837
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2015
20151204
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environmental permitting violation - water quality
57244
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109874
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2015
20151204
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environmental permitting violation - water quality
57248
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109875
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2015
20151113
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environmental permitting violation - water quality
57300
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109876
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2015
20151113
environment-related offences
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Environmental permitting violation - water quality
57297
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109877
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2015
20151113
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environmental permitting violation - water quality
57307
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109878
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2015
20151113
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environmental permitting violation - water quality
57293
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109879
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2015
20150526
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environmental permitting violation - water quality
57281
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109880
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2015
20150126
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environmental permitting violation - water quality
57293
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109881
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2015
20150116
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environmental permitting violation - water quality
57244
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109882
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2015
20150116
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environmental permitting violation - water quality
57248
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109883
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2015
20150116
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environmental permitting violation - water quality
57242
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109884
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2015
20151204
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environmental permitting violation - water quality
70911
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109885
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2016
20160630
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Water quality violation
57290
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109931
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2016
20160613
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Water quality violation
57272
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109932
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2016
20160526
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Water quality violation
57289
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109933
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2016
20160422
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Water quality violation
57248
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109934
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2016
20160321
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Water quality violation
57289
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109935
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2016
20160211
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Water quality violation
57307
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109936
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2016
20160126
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Water quality violation
57297
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109937
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2016
20160422
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Water quality violation
70911
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-109938
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2021
20210615
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environmental Permitting violation - water quality
79460
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-110273
Southern Water Services Limited
Macquarie
Southern Water
Southern Water’s ultimate parent are Greensands Holdings, those major shareholders were IIF (advised by JP Morgan) and The Northern Trust Co. (exited 2016), with no majority owner. In 2021 a fund managed by Macquarie acquired a majority stake.
0
2022
20221121
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Environmental Permitting violation - waste
92486
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://environment.data.gov.uk/public-register/view/search-enforcement-action
UK21-110347
Connells Residential
Skipton Building Society
Skipton Building Society
Central Bedfordshire
England
17087
2024
20240220
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Employer named by the government for failing to pay the minimum wage. Penalty is the amount of wage arrears repaid. Companies were also liable for financial penalties for the breaches, but the amounts were not provided.
UK-BEIS
Department for Business, Energy & Industrial Strategy
United Kingdom
mutual
financial services
financial and real estate services
https://www.gov.uk/government/news/over-500-companies-named-for-not-paying-minimum-wage
Real estate agencies
UK21-110629
Roadchef Limited
Macquarie
Macquarie
Cannock Chase
England
119272
2024
20240220
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Employer named by the government for failing to pay the minimum wage. Penalty is the amount of wage arrears repaid. Companies were also liable for financial penalties for the breaches, but the amounts were not provided.
UK-BEIS
Department for Business, Energy & Industrial Strategy
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://www.gov.uk/government/news/over-500-companies-named-for-not-paying-minimum-wage
Activities of head offices
UK21-110940
Southern Water
Macquarie
Macquarie
Waltham Chase
England
348945
2024
20240227
environment-related offences
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Southern Water was fined £330,000 and ordered to pay costs of £18,764 and a victim surcharge of £181 after pleading guilty to a breach of its environmental permit when raw sewage escaped into a stream for hours after two pumps failed and the company failed to respond to alarms.
Guilty Plea
UK-EA
Environment Agency
Australia
publicly traded
financial services
financial services
AU000000MQG1
https://www.gov.uk/government/news/stream-polluted-by-negligent-southern-water
UK21-111091
688