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Violation Tracker UK Parent Industry Summary Page

Parent Industry: financial services
Penalty Total since 2010: £5,711,528,598
Number of Cases: 615
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£703,650,59431
Barclays£535,912,70426
Lloyds Banking Group£472,324,03344
JPMorgan Chase£397,317,4475
Deutsche Bank£396,935,0245
HSBC£298,838,55517
Citigroup£282,197,5626
Glencore£280,965,0922
Macquarie£221,051,53091

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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CompanyParent sort icon . Offence TypeYearAgencyPenalty Amount
Barclays BankBarclayspension plan violation2017UK-TPO£0
Barclays Bank plcBarclaysanti-money-laundering deficiencies2015UK-FCA£72,069,400
Barclays Bank plcBarclaysforeign exchange market manipulation2015UK-FCA£284,432,000
Barclays Bank plcBarclaysinvestor protection violation2014UK-FCA£37,745,000
Barclays Bank plcBarclaysinvestor protection violation2014UK-FCA£26,033,500
Barclays Bank plcBarclaysinterest rate benchmark manipulation2012UK-FSA£59,500,000
Barclays Bank plcBarclaysinvestor protection violation2011UK-FSA£7,700,000
Barclays Bank plcBarclaysprice-fixing or anti-competitive practices2011UK-OFT£0
Barclays Bank PlcBarclayslabour standards violation2019UK-ET£9,155
Barclays Bank PlcBarclaysconsumer protection violation2022UK-FCA£10,860,743
Barclays Bank UK plcBarclayslabour standards violation2021UK-ET£9,692
Barclays Bank UK plcBarclaysinsurance violation2018UK-CMA£0
Barclays Bank UK plcBarclaysinsurance violation2016UK-CMA£0
Barclays Bank UK plcBarclayslabour standards violation2020UK-ET£15,010
Barclays Bank UK plcBarclaysconsumer protection violation2022UK-CMA£0
Barclays Bank UK plcBarclaysconsumer protection violation2022UK-CMA£0
Barclays Bank UK plc and Barclays Bank plcBarclaysbanking violation2019UK-CMA£1,910
Barclays Bank UK PLC and Barclays Bank PLC and Clydesdale Financial Services Ltd.Barclaysconsumer protection violation2020UK-FCA£26,056,400
Barclays Capital Securities LimitedBarclaysinvestor protection violation2011UK-FSA£1,127,559
Barclays PLCBarclaysenvironmental violation2020UK-EA£3,000
Barclays Services LtdBarclayslabour standards violation2019UK-ET£947,585
Barclays Stockbrokers LimitedBarclayspension plan violation2016UK-TPO£750
Barclays Wealth ManagementBarclayspension plan violation2016UK-TPO£1,000
Besso LimitedBGC Partnersinvestor protection violation2014UK-FCA£315,000
BGC Technology International LtdBGC Partnerslabour standards violation2022UK-ET£15,725
Blackrock Investment Management (UK) LimitedBlackRockinvestor protection violation2012UK-FSA£9,533,100
BlackRock Life LimitedBlackRockpension plan violation2012UK-TPO£112
BlackRock Pensions LimitedBlackRockpension plan violation2011UK-TPO£250
BNP Paribas London BranchBNP Paribaslabour standards violation2019UK-ET£2,081,449
BNP Paribas Real Estate Advisory & Property ManageBNP Paribasworkplace safety or health violation2017UK-HSE£0
BNP Paribas Real Estate Advisory & Property Management UK LimitedBNP Paribaslabour standards violation2023UK-BEIS£933
BNP Paribas Real Estate Advisory and Property Management UK LimitedBNP Paribasenvironmental violation2019UK-EA£30,000
BNY Mellon Corporate Trustee Services Ltd TCSPBank of New York Mellonanti-money-laundering deficiencies2021UK-HMRC£9,465
CALA HOMES (MIDLANDS) LIMITEDLegal & General Group PLCenvironmental violation2013UK-EA£8,000
Cardif PinnacleBNP Paribasinsurance violation2021UK-CMA£0
Cardif PinnacleBNP Paribasinsurance violation2020UK-CMA£0
Charles Schwab UK Ltd.Charles Schwab Corp.investor protection violation2020UK-FCA£8,963,200
Chase de Vere Independent Financial Advisers LimitedSwiss Life Groupinvestor protection violation2014UK-FCA£560,000
Chubb Fire LtdChubb Limitedlabour standards violation2022UK-ET£27,719
Citibank N.ACitigrouplabour standards violation2020UK-ET£75,427
Citibank N.A.Citigrouplabour standards violation2017UK-ET£103,335
Citibank N.A.Citigroupforeign exchange market manipulation2014UK-FCA£225,575,000
Citigroup Global Markets LimitedCitigroupinvestor protection violation2022UK-FCA£12,553,800
Citigroup Global Markets LimitedCitigroupprice-fixing or anti-competitive practices2023UK-CMA£0
Citigroup Global Markets Limited, Citibank N.A. London branch and Citibank Europe Plc UK branchCitigroupinternal controls deficiency2019UK-PRA£43,890,000
Close Investments LimitedClose Brothers Group PLCinvestor protection violation2010UK-FSA£98,000
Clydesdale Bank PLCVirgin Money UK PLCinsurance violation2015UK-FCA£20,678,300
Clydesdale Bank PLCVirgin Money UK PLCconsumer protection violation2013UK-FCA£8,904,000
Clydesdale Bank plcVirgin Money UK PLCbanking violation2021UK-CMA£0
Co-operative BankCo-operative Bankconsumer protection violation2023UK-CMA£0
Co-operative Bank PlcCo-operative Bankinternal controls deficiency2015UK-PRA£0
Co-operative Bank plcCo-operative Banklabour standards violation2023UK-ET£19,191
Combined Insurance Company of AmericaChubb Limitedinsurance violation2011UK-FSA£2,800,000
Commerzbank AGCommerzbankanti-money-laundering deficiencies2020UK-FCA£37,805,400
Commerzbank AGCommerzbankinvestor protection violation2010UK-FSA£595,000
Commerzbank AGCommerzbanklabour standards violation2022UK-ET£185,719
Commerzbank AGCommerzbanklabour standards violation2022UK-ET£300,684
Connells ResidentialSkipton Building Societylabour standards violation2020UK-ET£2,750
Connells Residential dba Connells Estate AgentsSkipton Building Societylabour standards violation2016UK-BEIS£2,049
Cooperatieve Centrale Raiffeisen-Boerenleenbank B.A.Rabobankinterest rate benchmark manipulation2013UK-FCA£105,000,000
Countrywide Assured plcChesnara PLCpension plan violation2010UK-TPO£1,692
Countrywide Assured Trustee Company LtdChesnara PLCpension plan violation2019UK-TPR£522
Coutts & CompanyNatWest Group PLCanti-money-laundering deficiencies2012UK-FSA£8,750,000
Coutts & CompanyNatWest Group PLCinvestor protection violation2011UK-FSA£6,300,000
Credit SuisseUBSbanking violation2021UK-FCA£292,209,276
Credit Suisse (UK) LimitedUBSinvestor protection violation2011UK-FSA£5,950,000
Credit Suisse InternationalUBSinvestor protection violation2014UK-FCA£2,398,100
Credit Suisse Securities (Europe) Limited et al.UBSinvestor protection violation2010UK-FSA£1,750,000
Credit Suisse Services, AGUBSlabour standards violation2021UK-ET£20,000
Danske BankDanske Bankbanking violation2021UK-CMA£0
Danske BankDanske Bankbanking violation2021UK-CMA£0
DB UK Bank Limited dba DB MortgagesDeutsche Bankmortgage abuses2010UK-FSA£2,340,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2023UK-CMA£0
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2017UK-FCA£163,076,224
Deutsche Bank AGDeutsche Bankinterest rate benchmark manipulation2015UK-FCA£226,800,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2014UK-FCA£4,718,800
Direct Line Group Services Pension Scheme (1993)Direct Line Insurance Group PLCpension plan violation2020UK-TPR£500
Direct Line Insurance Services LtdDirect Line Insurance Group PLClabour standards violation2023UK-ET£64,645
DL Insurance Services LimitedDirect Line Insurance Group PLClabour standards violation2020UK-ET£11,216
DL Insurance Services LtdDirect Line Insurance Group PLClabour standards violation2020UK-ET£11,649
DL Insurance Services LtdDirect Line Insurance Group PLClabour standards violation2020UK-ET£36,998
DL Insurance Services plc and othersDirect Line Insurance Group PLClabour standards violation2020UK-ET£11,216
EUI LtdAdmiral Grouplabour standards violation2019UK-ET£40,000
Fidelity InvestmentsFidelity Investmentspension plan violation2015UK-TPO£100
Friends LifeAviva PLCpension plan violation2018UK-TPO£500
Friends LifeAviva PLCpension plan violation2017UK-TPO£500
Friends LifeAviva PLCpension plan violation2017UK-TPO£0
Friends LifeAviva PLCpension plan violation2017UK-TPO£1,000
Friends LifeAviva PLCpension plan violation2017UK-TPO£500
Friends LifeAviva PLCpension plan violation2016UK-TPO£950
Friends LifeAviva PLCpension plan violation2015UK-TPO£100
Friends LifeAviva PLCpension plan violation2014UK-TPO£0
Friends LifeAviva PLCpension plan violation2014UK-TPO£900
Friends Life LimitedAviva PLCpension plan violation2017UK-TPO£1,000
Friends Life LimitedAviva PLCpension plan violation2014UK-TPO£0
Friends Life Services LimitedAviva PLCpension plan violation2014UK-TPO£2,300
Friends Life WL LimitedAviva PLCpension plan violation2013UK-TPO£200
Friends Provident Life and Pensions LimitedAviva PLCpension plan violation2010UK-TPO£12,706
Friends Provident Life and Pensions LimitedAviva PLCpension plan violation2010UK-TPO£3,278
GAM International Management LtdGAM Holding AGinvestor protection violation2022UK-FCA£9,103,523
Generali Worldwide Insurance Company LimitedAssicurazioni Generaliinsurance violation2013UK-GFSC£150,000