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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
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
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
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