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Violation Tracker UK Parent Industry Summary Page

Parent Industry: financial services
Penalty Total since 2010: £5,709,873,967
Number of Cases: 608
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall.
Top 10 Parent CompaniesPenalty TotalNumber of Cases
UBS£762,890,77610
NatWest Group PLC£703,562,89530
Barclays£535,912,70426
Lloyds Banking Group£468,009,03343
JPMorgan Chase£397,317,4475
Deutsche Bank£395,435,0245
HSBC£298,838,55517
Citigroup£282,197,5626
Glencore£280,965,0922
Macquarie£221,051,53089

Individual Penalty Cases:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

Download results as CSV or XML (maximum 1000; for access to larger downloads contact Phil Mattera)
CompanyParent sort icon . Offence TypeYearAgencyPenalty Amount
A J Bell LimitedAJ Bell PLCpension plan violation2018UK-TPO£6,000
A J Bell plcAJ Bell PLClabour standards violation2020UK-ET£20,483
Abbey LifePhoenix Group Holdings PLCpension plan violation2016UK-TPO£4,893
Abbey LifePhoenix Group Holdings PLCpension plan violation2014UK-TPO£500
Abbey Life Assurance Company LimitedPhoenix Group Holdings PLCpension plan violation2015UK-TPO£8,353
Abbey Life Assurance Company LimitedPhoenix Group Holdings PLCpension plan violation2011UK-TPO£350
Abbey Life Assurance Company LimitedPhoenix Group Holdings PLCpension plan violation2010UK-TPO£2,400
Aberdeen Asset Managers Limited and Aberdeen Fund Management LimitedAbrdn PLCinvestor protection violation2013UK-FCA£7,192,500
AegonAegonpension plan violation2018UK-TPO£100
AegonAegonpension plan violation2016UK-TPO£100
AegonAegonpension plan violation2016UK-TPO£1,199
AEGONAegonpension plan violation2014UK-TPO£200
AegonAegonpension plan violation2014UK-TPO£1,425
AegonAegonpension plan violation2013UK-TPO£11,598
AegonAegonpension plan violation2012UK-TPO£10,500
AegonAegonpension plan violation2011UK-TPO£19,861
Aegon Scottish EquitableAegonpension plan violation2012UK-TPO£1,387
AEGON Scottish EquitableAegonpension plan violation2011UK-TPO£250
Aegon Scottish EquitableAegonpension plan violation2011UK-TPO£350
AEGON Scottish EquitableAegonpension plan violation2010UK-TPO£150
Aegon Scottish Equitable plcAegonpension plan violation2012UK-TPO£100
AIB Group (UK) plcAllied Irish Banksbanking violation2020UK-CMA£0
AIB Group (UK) plc dba First Trust BankAllied Irish Banksbanking violation2014UK-CMA£0
AJ Bell and Legal & General Assurance SocietyAJ Bell PLCpension plan violation2017UK-TPO£0
AJ Bell InvestcentreAJ Bell PLCpension plan violation2018UK-TPO£0
AJ Bell InvestcentreAJ Bell PLCpension plan violation2018UK-TPO£0
AJ Bell InvestcentreAJ Bell PLCpension plan violation2018UK-TPO£500
AJ Bell Investcentre (owned by AJ Bell Limited)AJ Bell PLCpension plan violation2018UK-TPO£500
AJ Bell Investcentre​AJ Bell PLCpension plan violation2023UK-TPO£10,988
AJ Bell LtdAJ Bell PLCpension plan violation2017UK-TPO£0
AJ Bell Management LimitedAJ Bell PLCpension plan violation2018UK-TPO£0
AJ Bell Management LtdAJ Bell PLCpension plan violation2016UK-TPO£1,000
AJ Bell Self Invested Personal PensionAJ Bell PLCpension plan violation2020UK-TPO£575
Alliance and Leicester Personal Finance LimitedBanco Santanderconsumer protection violation2010UK-OFT£0
Alliance TrustAlliance Trust PLCpension plan violation2018UK-TPO£500
AllianzAllianzpension plan violation2016UK-TPO£500
Allianz Engineering Inspection Services LtdAllianzworkplace safety or health violation2010UK-HSE£14,232
Allianz Pension Fund Trustees LimitedAllianzpension plan violation2019UK-TPO£1,000
American Express Services Europe LimitedAmerican Expressprivacy violation2021UK-ICO£90,000
American Express Services Europe LimitedAmerican Expressconsumer protection violation2010UK-OFT£0
American Express Services Europe LimitedAmerican Expresslabour standards violation2018UK-ET£3,300
American International GroupAmerican International Groupenvironmental violation2016UK-EA£24,076
AONAonpension plan violation2013UK-TPO£54,850
AON HewitAonpension plan violation2015UK-TPO£1,570
Aon HewittAonpension plan violation2012UK-TPO£112
Aon HewittAonpension plan violation2011UK-TPO£250
Aon Hewitt LimitedAonpension plan violation2018UK-TPO£250
Aon Hewitt LtdAonpension plan violation2019UK-TPO£3,000
Aon Hewitt LtdAonpension plan violation2019UK-TPO£2,000
Aon Hewitt LtdAonpension plan violation2014UK-TPO£800
Aon LimitedAonpension plan violation2021UK-TPO£1,000
Aon UK Limited (Aon) & Barnett Waddingham LLP (Barnett Waddingham)Aonpension plan violation2020UK-TPO£0
AvivaAviva PLCinsurance violation2017UK-CMA£0
AvivaAviva PLCpension plan violation2021UK-TPO£1,000
AvivaAviva PLCpension plan violation2020UK-TPO£500
AvivaAviva PLCpension plan violation2019UK-TPO£5,549
AvivaAviva PLCpension plan violation2019UK-TPO£600
AvivaAviva PLCpension plan violation2019UK-TPO£1,100
AvivaAviva PLCpension plan violation2019UK-TPO£500
AvivaAviva PLCpension plan violation2019UK-TPO£1,075
AvivaAviva PLCpension plan violation2018UK-TPO£500
AvivaAviva PLCpension plan violation2017UK-TPO£500
AvivaAviva PLCpension plan violation2017UK-TPO£1,000
AvivaAviva PLCpension plan violation2016UK-TPO£1,990
AvivaAviva PLCpension plan violation2011UK-TPO£250
AvivaAviva PLCpension plan violation2011UK-TPO£1,000
AvivaAviva PLCpension plan violation2011UK-TPO£1,000
AvivaAviva PLCpension plan violation2010UK-TPO£250
AvivaAviva PLCpension plan violation2022UK-TPO£3,000
Aviva Insurance UK Ltd.Aviva PLCprice-fixing or anti-competitive practices2011UK-OFT£0
Aviva Investors Global Services LimitedAviva PLCinvestor protection violation2015UK-FCA£17,607,000
Aviva LifeAviva PLCpension plan violation2021UK-TPO£1,000
Aviva Life & Pensions UK LimitedAviva PLCpension plan violation2021UK-TPO£1,000
Aviva Life & Pensions UK LimitedAviva PLCpension plan violation2022UK-TPO£500
Aviva Life and Pensions UK LimitedAviva PLCpension plan violation2021UK-TPO£250
Aviva Life Services UK LimitedAviva PLCpension plan violation2011UK-TPO£900
Aviva Life Services UK LtdAviva PLCpension plan violation2010UK-TPO£0
Aviva Pension Trustees UK Limited and Aviva Wrap UK LimitedAviva PLCinvestor protection violation2016UK-FCA£8,246,800
Aviva Staff Trustee LimitedAviva PLCpension plan violation2016UK-TPO£300
AWP Assistance UK Ltd T/a Allianz PartnersAllianzlabour standards violation2020UK-ET£17,859
AXA Insurance UK plcAXAprice-fixing or anti-competitive practices2011UK-OFT£0
AXA Investment Managers LtdAXAlabour standards violation2019UK-ET£8,000
AXA PPP HEALTHCARE GROUP LTDAXAlabour standards violation2020UK-ET£4,128
AXA WealthPhoenix Group Holdings PLCpension plan violation2015UK-TPO£50
AXA Wealth Services LtdPhoenix Group Holdings PLCinvestor protection violation2013UK-FCA£1,802,200
Bank of AmericaBank of Americaenvironmental violation2016UK-EA£1,033
Bank of AmericaBank of Americaenvironmental violation2016UK-EA£583
Bank of IrelandBank of Irelandconsumer protection violation2022UK-CMA£0
Bank of IrelandBank of Irelandconsumer protection violation2022UK-CMA£0
Bank of IrelandBank of Irelandlabour standards violation2021UK-ECNI£18,483
Bank of Ireland UK plcBank of Irelandbanking violation2021UK-CMA£0
Bank of ScotlandLloyds Banking Groupbanking violation2019UK-FCA£45,500,000
Bank of ScotlandLloyds Banking Groupconsumer protection violation2012UK-FSA£4,200,000
Bank of ScotlandLloyds Banking Groupprivacy violation2013UK-ICO£75,000
Bank of Scotland PlcLloyds Banking Groupinvestor protection violation2011UK-FSA£3,500,000
Bank of Tokyo Mitsubishi UFJ LimitedMitsubishi UFJ Financial Groupinternal controls deficiency2017UK-PRA£17,850,000
BarclaysBarclaysconsumer protection violation2022UK-CMA£0
BarclaysBarclaysconsumer protection violation2022UK-CMA£1,000,000
BarclaysBarclaysconsumer protection violation2022UK-PSR£8,400,000
Barclays BankBarclayspension plan violation2017UK-TPO£0
Barclays Bank plcBarclaysanti-money-laundering deficiencies2015UK-FCA£72,069,400