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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 TypeYear sort iconAgencyPenalty Amount
AegonAegonpension plan violation2018UK-TPO£100
AvivaAviva PLCpension plan violation2018UK-TPO£500
Alliance TrustAlliance Trust PLCpension plan violation2018UK-TPO£500
Royal London GroupRoyal London Mutual Insurancepension plan violation2018UK-TPO£500
JLT Benefits Solutions LimitedMarsh & McLennanpension plan violation2018UK-TPO£1,000
Phoenix Life LimitedPhoenix Group Holdings PLCpension plan violation2018UK-TPO£500
A J Bell LimitedAJ Bell PLCpension plan violation2018UK-TPO£6,000
AJ Bell Management LimitedAJ Bell PLCpension plan violation2018UK-TPO£0
AJ Bell InvestcentreAJ Bell PLCpension plan violation2018UK-TPO£0
AJ Bell InvestcentreAJ Bell PLCpension plan violation2018UK-TPO£0
Aon Hewitt LimitedAonpension plan violation2018UK-TPO£250
PrudentialPrudential PLCpension plan violation2018UK-TPO£250
AJ Bell Investcentre (owned by AJ Bell Limited)AJ Bell PLCpension plan violation2018UK-TPO£500
Hargreaves Lansdown Asset Management LimitedHargreaves Lansdown PLCpension plan violation2018UK-TPO£500
Mercer Ltd.Marsh & McLennanpension plan violation2018UK-TPO£0
Zurich Assurance LimitedZurich Insurancepension plan violation2018UK-TPO£0
Phoenix LifePhoenix Group Holdings PLCpension plan violation2018UK-TPO£0
AJ Bell InvestcentreAJ Bell PLCpension plan violation2018UK-TPO£500
Southern Water Services LimitedMacquariepension plan violation2018UK-TPR£0
The Societe Generale Pension PlanSociete Generalepension plan violation2018UK-TPR£504
Southern Water Service Ltd Registered CompanyMacquarieenvironmental violation2018UK-EA£0
The Royal Bank of Scotland PLCNatWest Group PLClabour standards violation2018UK-ET£6,509
Southern Water Services LtdMacquariewater pollution violation2018UK-DWI£109,620
Greater Manchester Buses (South) LimitedDeutsche Banklabour standards violation2018UK-ET£40,354
American Express Services Europe LimitedAmerican Expresslabour standards violation2018UK-ET£3,300
BNP Paribas Real Estate Advisory and Property Management UK LimitedBNP Paribasenvironmental violation2019UK-EA£30,000
Southern Water Services LimitedMacquariewater pollution violation2019UK-EA£25,000
Henderson Investment Funds Ltd.Janus Hendersoninvestor protection violation2019UK-FCA£1,867,900
Tullett Prebon (Europe) LimitedTP ICAP PLCinvestor protection violation2019UK-FCA£15,400,000
The Prudential Assurance Company LimitedM&G PLCinvestor protection violation2019UK-FCA£23,875,000
Standard Life Assurance LimitedPhoenix Group Holdings PLCinvestor protection violation2019UK-FCA£30,792,500
Bank of ScotlandLloyds Banking Groupbanking violation2019UK-FCA£45,500,000
Standard Chartered BankStandard Charteredanti-money-laundering deficiencies2019UK-FCA£102,163,200
Goldman Sachs InternationalGoldman Sachsinvestor protection violation2019UK-FCA£34,344,700
UBS AGUBSinvestor protection violation2019UK-FCA£27,599,400
Alliance Medical Radiopharmacy LimitediCON Infrastructureworkplace safety or health violation2019UK-HSE£0
Alliance Medical Radiopharmacy LimitediCON Infrastructureworkplace safety or health violation2019UK-HSE£0
Alliance Medical Radiopharmacy LimitediCON Infrastructureworkplace safety or health violation2019UK-HSE£0
Stagecoach Devon LimitedDeutsche Bankworkplace safety or health violation2019UK-HSE£0
Santander UK plcBanco Santanderbanking violation2019UK-CMA£19,000,000
HSBC Bank plcHSBCbanking violation2019UK-CMA£8,000,000
Associated Waste Management LimitedMacquarieworkplace safety or health violation2019UK-HSE£0
Nationwide Building SocietyNationwide Building Societyinsurance violation2019UK-CMA£2,000,000
Associated Waste Management LimitedMacquarieworkplace safety or health violation2019UK-HSE£0
PayPal Holdings, Inc. and PayPal (Europe) Sarl et Cie SCA and PayPal SEPayPal Holdingsinvestor protection violation2019UK-CMA£250,000
Royal Bank of Scotland GroupNatWest Group PLCinsurance violation2019UK-CMA£1,500,000
Nationwide Building SocietyNationwide Building Societybanking violation2019UK-CMA£6,000,000
Barclays Bank UK plc and Barclays Bank plcBarclaysbanking violation2019UK-CMA£1,910
Alliance Medical LtdiCON Infrastructureworkplace safety or health violation2019UK-HSE£0
Alliance Medical LtdiCON Infrastructureworkplace safety or health violation2019UK-HSE£0
Alliance Medical LtdiCON Infrastructureworkplace safety or health violation2019UK-HSE£0
Alliance Medical LtdiCON Infrastructureworkplace safety or health violation2019UK-HSE£0
EUI LtdAdmiral Grouplabour standards violation2019UK-ET£40,000
Citigroup Global Markets Limited, Citibank N.A. London branch and Citibank Europe Plc UK branchCitigroupinternal controls deficiency2019UK-PRA£43,890,000
Drax Generation Enterprise LimitedVitolenvironmental violation2019UK-SEPA£600
Drax Generation Enterprise LimitedVitolenvironmental violation2019UK-SEPA£600
Trustees of the Aviva Staff Pension SchemeAviva PLCpension plan violation2019UK-TPO£1,000
Lloyds Bank PlcLloyds Banking Grouppension plan violation2019UK-TPO£1,000
Aon Hewitt LtdAonpension plan violation2019UK-TPO£3,000
Willis Towers WatsonWillis Towers Watsonpension plan violation2019UK-TPO£0
HSBC Pension Trust (UK) LtdHSBCpension plan violation2019UK-TPO£1,000
JLT Benefit Solutions LimitedMarsh & McLennanpension plan violation2019UK-TPO£1,000
Skipton Building Society and Skipton Pension Trustees LimitedSkipton Building Societypension plan violation2019UK-TPO£1,000
AvivaAviva PLCpension plan violation2019UK-TPO£5,549
AvivaAviva PLCpension plan violation2019UK-TPO£600
AvivaAviva PLCpension plan violation2019UK-TPO£1,100
PrudentialPrudential PLCpension plan violation2019UK-TPO£1,000
PrudentialPrudential PLCpension plan violation2019UK-TPO£500
AvivaAviva PLCpension plan violation2019UK-TPO£500
Mercer Limited (Mercer)Marsh & McLennanpension plan violation2019UK-TPO£1,000
AvivaAviva PLCpension plan violation2019UK-TPO£1,075
Aon Hewitt LtdAonpension plan violation2019UK-TPO£2,000
Scottish Widows LimitedLloyds Banking Grouppension plan violation2019UK-TPO£1,000
Phoenix Life (Phoenix)Phoenix Group Holdings PLCpension plan violation2019UK-TPO£500
Willis Towers Watson and Lloyds Banking Group Pensions Trustees LimitedWillis Towers Watsonpension plan violation2019UK-TPO£1,000
St James's Place Wealth ManagementSt. James's Place PLCpension plan violation2019UK-TPO£1,000
Phoenix LifePhoenix Group Holdings PLCpension plan violation2019UK-TPO£2,000
Royal LondonRoyal London Mutual Insurancepension plan violation2019UK-TPO£0
Phoenix Life Assurance LtdPhoenix Group Holdings PLCpension plan violation2019UK-TPO£500
PrudentialPrudential PLCpension plan violation2019UK-TPO£1,000
Allianz Pension Fund Trustees LimitedAllianzpension plan violation2019UK-TPO£1,000
Legal & General Assurance Society LimitedLegal & General Group PLCpension plan violation2019UK-TPO£500
Countrywide Assured Trustee Company LtdChesnara PLCpension plan violation2019UK-TPR£522
Societe Generale Newedge UK LtdSociete Generalepension plan violation2019UK-TPR£501
Southern WaterMacquariewater services violation2019UK-OFWAT£126,000,000
HBOS PlcLloyds Banking Grouplabour standards violation2019UK-ET£49,457
Lloyds Bank PlcLloyds Banking Grouplabour standards violation2019UK-ET£7,500
Barclays Bank PlcBarclayslabour standards violation2019UK-ET£9,155
The Co-Operative Bank PLCCo-operative Banklabour standards violation2019UK-ET£4,775
BNP Paribas London BranchBNP Paribaslabour standards violation2019UK-ET£2,081,449
Lloyds Bank PLCLloyds Banking Grouplabour standards violation2019UK-ET£711
Newday Cards LimitedNewDay Limitedlabour standards violation2019UK-ET£18,599
Royal Bank of CanadaRoyal Bank of Canadalabour standards violation2019UK-ET£8,100
Tullett Prebon GroupTP ICAP PLClabour standards violation2019UK-ET£69,682
Barclays Services LtdBarclayslabour standards violation2019UK-ET£947,585
AXA Investment Managers LtdAXAlabour standards violation2019UK-ET£8,000
Northern Bank LtdDanske Bankconsumer protection violation2019UK-ECNI£2,000
Roadchef LtdMacquarieEnvironmental Violation2020UK-NRW£0
DL Insurance Services LtdDirect Line Insurance Group PLClabour standards violation2020UK-ET£11,649
AWP Assistance UK Ltd T/a Allianz PartnersAllianzlabour standards violation2020UK-ET£17,859
Citibank N.ACitigrouplabour standards violation2020UK-ET£75,427