Bank of Ireland UK plc Bank of Ireland Bank of Ireland 0 2021 20210622 competition-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
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 UK21-2517
HBOS Plc Lloyds Banking Group Lloyds Banking Group England and Wales 10828 2020 20200304 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/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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
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 £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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
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 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
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 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
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 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
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 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
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 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
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 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
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 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
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 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
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 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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
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/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
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/2021/po-39957/hbos-final-salary-pension-scheme-po-39957 UK21-52487
Aviva Aviva PLC Aviva PLC 1000 2021 20210419 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 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
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/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
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/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
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 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
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/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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
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/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
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 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
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 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
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/2020/cas-37002-t3n7/your-tomorrow-pension-scheme-cas-37002-t3n7 UK21-52510
Prudential Prudential PLC Prudential PLC 7238 2020 20201009 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/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
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/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
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 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
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 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
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 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
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/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
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/2011/810102/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
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 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
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/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
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/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
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/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
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/decision/2011/774021/scottish-life-personal-pension-scheme-774021 UK21-53277
Aviva Aviva PLC Aviva PLC 1000 2011 20110324 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/2011/791141/norwich-union-sipp-791141 UK21-53278
Aviva Aviva PLC Aviva PLC 1000 2011 20110324 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/2011/795061/norwich-union-sipp-795061 UK21-53279
Prudential Prudential PLC Prudential PLC 520 2011 20110323 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/decision/2011/814211/prudential-personal-pension-scheme-814211 UK21-53280
BlackRock Pensions Limited BlackRock BlackRock 250 2011 20110302 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 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
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 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
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/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
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 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
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 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
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/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
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/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
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/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
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 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
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/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
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 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
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/2010/758081/friends-provident-personal-pension-plan-758081 UK21-53311
Countrywide Assured plc Chesnara PLC Chesnara PLC 1692 2010 20101005 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 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
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/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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
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 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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
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/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
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/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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
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 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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
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/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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
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 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
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/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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
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 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
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 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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
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 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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
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 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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
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 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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
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 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
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 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
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 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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
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 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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
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 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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
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 & 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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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
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 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
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 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
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 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
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
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