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Violation Tracker UK Parent Industry Summary Page

Parent Industry: financial services
Penalty Total since 2010: £5,859,335,625
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£703,650,59431
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 TypeYear sort iconAgencyPenalty Amount
Southern Water Services LimitedMacquarieenvironmental violation2016UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2016UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2016UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2016UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2016UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2016UK-EA£0
Bank of AmericaBank of Americaenvironmental violation2016UK-EA£1,033
Bank of AmericaBank of Americaenvironmental violation2016UK-EA£583
American International GroupAmerican International Groupenvironmental violation2016UK-EA£24,076
Aviva Pension Trustees UK Limited and Aviva Wrap UK LimitedAviva PLCinvestor protection violation2016UK-FCA£8,246,800
Connells Residential dba Connells Estate AgentsSkipton Building Societylabour standards violation2016UK-BEIS£2,049
Santander UK plcBanco Santanderinsurance violation2016UK-CMA£0
Barclays Bank UK plcBarclaysinsurance violation2016UK-CMA£0
WSR Recycling LimitedMacquarieworkplace safety or health violation2016UK-HSE£0
Barclays Wealth ManagementBarclayspension plan violation2016UK-TPO£1,000
Barclays Stockbrokers LimitedBarclayspension plan violation2016UK-TPO£750
Abbey LifePhoenix Group Holdings PLCpension plan violation2016UK-TPO£4,893
Phoenix Life LimitedPhoenix Group Holdings PLCpension plan violation2016UK-TPO£300
Aviva Staff Trustee LimitedAviva PLCpension plan violation2016UK-TPO£300
PrudentialPrudential PLCpension plan violation2016UK-TPO£0
PrudentialPrudential PLCpension plan violation2016UK-TPO£500
Royal LondonRoyal London Mutual Insurancepension plan violation2016UK-TPO£500
Scottish Widows plcLloyds Banking Grouppension plan violation2016UK-TPO£500
AvivaAviva PLCpension plan violation2016UK-TPO£1,990
AegonAegonpension plan violation2016UK-TPO£100
Hargreaves Lansdown Asset Management LimitedHargreaves Lansdown PLCpension plan violation2016UK-TPO£0
AegonAegonpension plan violation2016UK-TPO£1,199
Friends LifeAviva PLCpension plan violation2016UK-TPO£950
AJ Bell Management LtdAJ Bell PLCpension plan violation2016UK-TPO£1,000
AllianzAllianzpension plan violation2016UK-TPO£500
Southern Water Services Limited Registered CompanyMacquarieenvironmental violation2016UK-EA£0
Southern Water Services LtdMacquarieenvironmental violation2016UK-EA£24,000
Southern Water Services LimitedMacquarieenvironmental violation2016UK-EA£2,000,000
Neovia Logistics Services (UK) LimitedGoldman Sachslabour standards violation2017UK-ET£30,000
HSBC Bank PlcHSBClabour standards violation2017UK-ET£11,803
The Royal Bank of Scotland plcNatWest Group PLClabour standards violation2017UK-ET£20,870
Lloyds Bank PlcLloyds Banking Grouplabour standards violation2017UK-ET£53,922
Lloyds Banking Group plcLloyds Banking Grouplabour standards violation2017UK-ET£5,043
The Royal Bank of Scotland plcNatWest Group PLClabour standards violation2017UK-ET£3,148
Citibank N.A.Citigrouplabour standards violation2017UK-ET£103,335
HBOS PlcLloyds Banking Grouplabour standards violation2017UK-ET£9,114
Morgan Stanley Services (UK) LimitedMorgan Stanleyenvironmental violation2017UK-EA£743
Morgan Stanley Services (UK) LimitedMorgan Stanleyenvironmental violation2017UK-EA£730
Morgan Stanley Services (UK) LimitedMorgan Stanleyenvironmental violation2017UK-EA£712
Morgan Stanley Services (UK) LimitedMorgan Stanleyenvironmental violation2017UK-EA£647
Merrill Lynch InternationalBank of Americainvestor protection violation2017UK-FCA£34,524,000
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2017UK-FCA£163,076,224
AvivaAviva PLCinsurance violation2017UK-CMA£0
Lloyds Banking GroupLloyds Banking Groupinsurance violation2017UK-CMA£0
BNP Paribas Real Estate Advisory & Property ManageBNP Paribasworkplace safety or health violation2017UK-HSE£0
Alliance Medical LtdiCON Infrastructureworkplace safety or health violation2017UK-HSE£0
Alliance Medical LtdiCON Infrastructureworkplace safety or health violation2017UK-HSE£0
Alliance Medical LtdiCON Infrastructureworkplace safety or health violation2017UK-HSE£0
Vanquis Bank LimitedVanquis Banking Groupprivacy violation2017UK-ICO£75,000
Provident Personal Credit LtdVanquis Banking Groupprivacy violation2017UK-ICO£80,000
Royal & Sun Alliance Insurance PLCIntact Financial Corporationprivacy violation2017UK-ICO£150,000
Bank of Tokyo Mitsubishi UFJ LimitedMitsubishi UFJ Financial Groupinternal controls deficiency2017UK-PRA£17,850,000
MUFG Securities EMEA plcMitsubishi UFJ Financial Groupinternal controls deficiency2017UK-PRA£8,925,000
PrudentialPrudential PLCpension plan violation2017UK-TPO£0
JLT Benefits Solutions LimitedMarsh & McLennanpension plan violation2017UK-TPO£500
AvivaAviva PLCpension plan violation2017UK-TPO£500
Standard LifePhoenix Group Holdings PLCpension plan violation2017UK-TPO£750
Friends LifeAviva PLCpension plan violation2017UK-TPO£500
AvivaAviva PLCpension plan violation2017UK-TPO£1,000
Friends LifeAviva PLCpension plan violation2017UK-TPO£0
Friends LifeAviva PLCpension plan violation2017UK-TPO£1,000
ReAssure Ltd (ReAssure)Phoenix Group Holdings PLCpension plan violation2017UK-TPO£500
ReAssure LtdPhoenix Group Holdings PLCpension plan violation2017UK-TPO£500
AJ Bell and Legal & General Assurance SocietyAJ Bell PLCpension plan violation2017UK-TPO£0
Friends Life LimitedAviva PLCpension plan violation2017UK-TPO£1,000
HSBC Bank Pension Trust (UK) LimitedHSBCpension plan violation2017UK-TPO£1,000
Friends LifeAviva PLCpension plan violation2017UK-TPO£500
AJ Bell LtdAJ Bell PLCpension plan violation2017UK-TPO£0
National Australia BankNational Australia Bankpension plan violation2017UK-TPO£500
PrudentialPrudential PLCpension plan violation2017UK-TPO£2,727
Lloyds Banking GroupLloyds Banking Grouppension plan violation2017UK-TPO£500
Phoenix Life LimitedPhoenix Group Holdings PLCpension plan violation2017UK-TPO£1,000
Phoenix Life LimitedPhoenix Group Holdings PLCpension plan violation2017UK-TPO£0
Phoenix Life LimitedPhoenix Group Holdings PLCpension plan violation2017UK-TPO£1,000
Barclays BankBarclayspension plan violation2017UK-TPO£0
PrudentialPrudential PLCpension plan violation2017UK-TPO£0
The Law Debenture Pension Trust CorporationLaw Debenture Corporation PLCpension plan violation2017UK-TPR£2,000
Pearson Jones and Company (Trustees) LtdAbrdn PLCpension plan violation2017UK-TPR£600
Associated Waste Management LtdMacquarieenvironmental violation2017UK-EA£112,500
Associated Waste Management LtdMacquarieenvironmental violation2017UK-EA£87,500
Southern Water Services LtdMacquarieenvironmental violation2017UK-DWI£530,000
Stagecoach Devon Ltd t/a Stagecoach South WestDeutsche Banklabour standards violation2018UK-ET£5,500
Solus London LtdAviva PLClabour standards violation2018UK-ET£1,000
Santander UK plcBanco Santanderbanking violation2018UK-FCA£32,817,800
Liberty Mutual Insurance Europe SELiberty Mutual Insuranceinsurance violation2018UK-FCA£5,280,800
Vanquis Bank LimitedVanquis Banking Groupconsumer protection violation2018UK-FCA£13,852,000
Interactive Brokers (UK)Interactive Brokers Groupinvestor protection violation2018UK-FCA£1,049,412
Lloyds Banking GroupLloyds Banking Groupinsurance violation2018UK-CMA£0
Barclays Bank UK plcBarclaysinsurance violation2018UK-CMA£0
Associated Waste Management LimitedMacquarieworkplace safety or health violation2018UK-HSE£0
Newday LimitedNewDay Limitedprivacy violation2018UK-ICO£230,000
Scottish WidowsLloyds Banking Grouppension plan violation2018UK-TPO£500
Friends LifeAviva PLCpension plan violation2018UK-TPO£500
Scottish Equitable plc (AEGON)Aegonpension plan violation2018UK-TPO£0
The Royal Bank of Scotland Group PLCNatWest Group PLCpension plan violation2018UK-TPO£0
AegonAegonpension plan violation2018UK-TPO£100