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Violation Tracker UK Parent Industry Summary Page

Parent Industry: financial services
Penalty Total since 2010: £5,860,158,243
Number of Cases: 688
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall.
Top 10 Parent CompaniesPenalty TotalNumber of Cases
UBS£849,972,77611
NatWest Group PLC£704,658,93132
Barclays£535,912,70426
Lloyds Banking Group£472,797,68146
Deutsche Bank£397,989,24416
JPMorgan Chase£397,317,4475
HSBC£356,256,05518
Citigroup£282,197,5626
Glencore£280,965,0922
Macquarie£221,803,050127

Individual Penalty Cases:

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

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CompanyParentOffence TypeYearAgencyPenalty Amount sort icon
Associated Waste Management LtdMacquarieenvironmental violation2011UK-EA£72,000
Vanquis Bank LimitedVanquis Banking Groupprivacy violation2017UK-ICO£75,000
Bank of ScotlandLloyds Banking Groupprivacy violation2013UK-ICO£75,000
Citibank N.ACitigrouplabour standards violation2020UK-ET£75,427
Provident Personal Credit LtdVanquis Banking Groupprivacy violation2017UK-ICO£80,000
Lloyds Bank plcLloyds Banking Grouplabour standards violation2022UK-ET£84,419
Associated Waste Management LtdMacquarieenvironmental violation2017UK-EA£87,500
National Westminster Bank plcNatWest Group PLClabour standards violation2023UK-ET£87,699
American Express Services Europe LimitedAmerican Expressprivacy violation2021UK-ICO£90,000
SOUTHERN WATER SERVICES LIMITEDMacquariewater pollution violation2011UK-EA£96,000
Close Investments LimitedClose Brothers Group PLCinvestor protection violation2010UK-FSA£98,000
Citibank N.A.Citigrouplabour standards violation2017UK-ET£103,335
Southern Water Services LtdMacquariewater pollution violation2018UK-DWI£109,620
Associated Waste Management LtdMacquarieenvironmental violation2017UK-EA£112,500
The Co-operative Bank plcCo-operative Bankconsumer protection violation2013UK-FSA£113,300
Roadchef LimitedMacquarielabour standards violation2024UK-BEIS£119,272
Alliance Medical Radiopharmacy LimitediCON Infrastructureworkplace safety or health violation2022UK-HSE£131,382
Royal & Sun Alliance Insurance PLCIntact Financial Corporationprivacy violation2017UK-ICO£150,000
Generali Worldwide Insurance Company LimitedAssicurazioni Generaliinsurance violation2013UK-GFSC£150,000
SOUTHERN WATER SERVICES LIMITEDMacquariewater pollution violation2015UK-EA£160,000
SOUTHERN WATER SERVICES LTDMacquariewater pollution violation2013UK-EA£200,000
Plus500UK LimitedPlus500 Limitedinvestor protection violation2012UK-FSA£205,128
Newday LimitedNewDay Limitedprivacy violation2018UK-ICO£230,000
PayPal Holdings, Inc. and PayPal (Europe) Sarl et Cie SCA and PayPal SEPayPal Holdingsinvestor protection violation2019UK-CMA£250,000
Commerzbank AGCommerzbanklabour standards violation2022UK-ET£300,684
Alliance Medical LimitediCON Infrastructureworkplace safety or health violation2022UK-HSE£311,382
Besso LimitedArdonagh Groupinvestor protection violation2014UK-FCA£315,000
Nationwide Building SocietyNationwide Building Societylabour standards violation2021UK-ET£345,708
Southern WaterMacquariewater pollution violation2024UK-EA£348,945
Stagecoach Devon LimitedDeutsche Bankworkplace safety or health violation2022UK-HSE£398,000
Lloyds Banking Group plcLloyds Banking Grouplabour standards violation2023UK-ET£473,148
Lloyds Bank Corporate Markets PlcLloyds Banking Groupanti-money-laundering deficiencies2022UK-JFSC£498,000
Rowan Dartington & Co LimitedSt. James's Place PLCinvestor protection violation2010UK-FSA£511,000
Southern Water Services LtdMacquariewater pollution violation2014UK-EA£519,224
Guaranty Trust Bank (UK) LimitedGuaranty Trust Bank PLCanti-money-laundering deficiencies2013UK-FCA£525,000
Southern Water Services LtdMacquariewater pollution violation2017UK-DWI£530,000
Cambus LimitedDeutsche Bankworkplace safety or health violation2013UK-HSE£555,401
Chase de Vere Independent Financial Advisers LimitedSwiss Life Groupinvestor protection violation2014UK-FCA£560,000
Commerzbank AGCommerzbankinvestor protection violation2010UK-FSA£595,000
Sun Life Assurance Company of Canada (UK) LimitedSun Life Financialinvestor protection violation2012UK-FSA£600,000
NatWest Group plcNatWest Group PLCconsumer protection violation2022UK-CMA£600,000
Sunrise Brokers LLPBGC Partnersanti-money-laundering deficiencies2021UK-FCA£642,400
Associated Waste Management LimitedMacquarieworkplace safety or health violation2021UK-HSE£776,170
Nationwide Building SocietyNationwide Building Societybanking violation2020UK-CMA£900,000
Barclays Services LtdBarclayslabour standards violation2019UK-ET£947,585
Lloyds Banking Group plcLloyds Banking Groupinsurance violation2021UK-CMA£957,000
BarclaysBarclaysconsumer protection violation2022UK-CMA£1,000,000
The Royal Bank of Scotland International LimitedNatWest Group PLCanti-money-laundering deficiencies2024UK-IOM£1,008,337
Interactive Brokers (UK)Interactive Brokers Groupinvestor protection violation2018UK-FCA£1,049,412
Instinet Europe LimitedNomurainvestor protection violation2010UK-FSA£1,050,000
Royal Bank of CanadaRoyal Bank of Canadalabour standards violation2021UK-ET£1,112,956
Barclays Capital Securities LimitedBarclaysinvestor protection violation2011UK-FSA£1,127,559
J P Morgan Securities plcJPMorgan Chaselabour standards violation2021UK-ET£1,145,247
Norwich and Peterborough Building SocietyYorkshire Building Societyinvestor protection violation2011UK-FSA£1,400,000
Yorkshire Building SocietyYorkshire Building Societyinvestor protection violation2014UK-FCA£1,429,000
Santander UK plcBanco Santanderinvestor protection violation2012UK-FSA£1,500,000
Royal Bank of Scotland GroupNatWest Group PLCinsurance violation2019UK-CMA£1,500,000
Societe GeneraleSociete Generaleinvestor protection violation2010UK-FSA£1,575,000
Sesame LimitedAviva PLCinvestor protection violation2014UK-FCA£1,598,000
Credit Suisse Securities (Europe) Limited et al.UBSinvestor protection violation2010UK-FSA£1,750,000
AXA Wealth Services LtdPhoenix Group Holdings PLCinvestor protection violation2013UK-FCA£1,802,200
National Westminster Bank Plc et al.NatWest Group PLCconsumer protection violation2022UK-PSR£1,820,000
Henderson Investment Funds Ltd.Janus Hendersoninvestor protection violation2019UK-FCA£1,867,900
JLT Specialty LimitedMarsh & McLennaninsurance violation2013UK-FCA£1,876,000
Nationwide Building SocietyNationwide Building Societyinsurance violation2019UK-CMA£2,000,000
Southern Water Services LimitedMacquariewater pollution violation2016UK-EA£2,000,000
BNP Paribas London BranchBNP Paribaslabour standards violation2019UK-ET£2,081,449
UK Insurance LimitedDirect Line Insurance Group PLCinsurance violation2012UK-FSA£2,170,000
Royal Bank of Scotland GroupNatWest Group PLCbanking violation2020UK-CMA£2,200,000
Zurich Insurance PlcZurich Insuranceprivacy violation2010UK-FSA£2,275,000
DB UK Bank Limited dba DB MortgagesDeutsche Bankmortgage abuses2010UK-FSA£2,340,000
Credit Suisse InternationalUBSinvestor protection violation2014UK-FCA£2,398,100
Standard Life Assurance LimitedPhoenix Group Holdings PLCinvestor protection violation2010UK-FSA£2,450,000
Moneybarn LtdVanquis Banking Groupconsumer protection violation2020UK-FCA£2,774,400
Combined Insurance Company of AmericaChubb Limitedinsurance violation2011UK-FSA£2,800,000
Royal Bank of Scotland Plc and National Westminster Bank PlcNatWest Group PLCconsumer protection violation2011UK-FSA£2,800,000
Scottish Equitable PLCAegoninvestor protection violation2010UK-FSA£2,800,000
J.P. Morgan International Bank LimitedJPMorgan Chaseinvestor protection violation2013UK-FCA£3,076,200
Integrated Financial Arrangements plcIntegraFin Holdings PLCinvestor protection violation2011UK-FSA£3,500,000
Bank of Scotland PlcLloyds Banking Groupinvestor protection violation2011UK-FSA£3,500,000
Winterflood Securities LimitedClose Brothers Group PLCinvestor protection violation2010UK-FSA£4,052,500
Yorkshire Building SocietyYorkshire Building Societymortgage abuses2014UK-FCA£4,135,600
Bank of ScotlandLloyds Banking Groupconsumer protection violation2012UK-FSA£4,200,000
Lloyds Banking GroupLloyds Banking Groupconsumer protection violation2013UK-FCA£4,315,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2014UK-FCA£4,718,800
Liberty Mutual Insurance Europe SELiberty Mutual Insuranceinsurance violation2018UK-FCA£5,280,800
Metro Bank plcMetro Bank PLCinternal controls deficiency2021UK-PRA£5,376,000
Morgan Stanley & Co. International plcMorgan Stanleyenergy market violation2023UK-OFGEM£5,411,149
The Royal Bank of Scotland plc et al.NatWest Group PLCanti-money-laundering deficiencies2010UK-FSA£5,600,000
The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V.NatWest Group PLCinvestor protection violation2013UK-FCA£5,620,300
Credit Suisse (UK) LimitedUBSinvestor protection violation2011UK-FSA£5,950,000
Nationwide Building SocietyNationwide Building Societybanking violation2019UK-CMA£6,000,000
Sesame LimitedAviva PLCinvestor protection violation2013UK-FCA£6,031,200
Coutts & CompanyNatWest Group PLCinvestor protection violation2011UK-FSA£6,300,000
Willis LimitedWillis Towers Watsonbribery2011UK-FSA£6,895,000
Aberdeen Asset Managers Limited and Aberdeen Fund Management LimitedAbrdn PLCinvestor protection violation2013UK-FCA£7,192,500
Standard Bank PLCIndustrial and Commercial Bank of Chinaanti-money-laundering deficiencies2014UK-FCA£7,640,400
Guaranty Trust Bank (UK) LimitedGuaranty Trust Bank PLCanti-money-laundering deficiencies2023UK-FCA£7,671,800
Barclays Bank plcBarclaysinvestor protection violation2011UK-FSA£7,700,000
Lloyds Banking GroupLloyds Banking Groupinterest rate benchmark manipulation2014UK-PRA£7,760,000
JLT Specialty LimitedMarsh & McLennananti-money-laundering deficiencies2022UK-FCA£7,881,700