Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML (maximum 1000; for access to larger downloads contact Phil Mattera)
CompanyParent sort iconOffence TypeYearAgencyPenalty Amount
Aviva Life Services UK LtdAviva PLCpension plan violation2010UK-TPO£0
Aviva Pension Trustees UK Limited and Aviva Wrap UK LimitedAviva PLCinvestor protection violation2016UK-FCA£8,246,800
Aviva Staff Trustee LimitedAviva PLCpension plan violation2016UK-TPO£300
AWP Assistance UK Ltd T/a Allianz PartnersAllianzlabour standards violation2020UK-ET£17,859
AXA Insurance UK plcAXAprice-fixing or anti-competitive practices2011UK-OFT£0
AXA Investment Managers LtdAXAlabour standards violation2019UK-ET£8,000
AXA PPP HEALTHCARE GROUP LTDAXAlabour standards violation2020UK-ET£4,128
AXA WealthPhoenix Group Holdings PLCpension plan violation2015UK-TPO£50
AXA Wealth Services LtdPhoenix Group Holdings PLCinvestor protection violation2013UK-FCA£1,802,200
Bank of AmericaBank of Americaenvironmental violation2016UK-EA£1,033
Bank of AmericaBank of Americaenvironmental violation2016UK-EA£583
Bank of IrelandBank of Irelandconsumer protection violation2022UK-CMA£0
Bank of IrelandBank of Irelandconsumer protection violation2022UK-CMA£0
Bank of IrelandBank of Irelandlabour standards violation2021UK-ECNI£18,483
Bank of Ireland UKBank of Irelandconsumer protection violation2023UK-ICO£0
Bank of Ireland UK plcBank of Irelandbanking violation2021UK-CMA£0
Bank of ScotlandLloyds Banking Groupbanking violation2019UK-FCA£45,500,000
Bank of ScotlandLloyds Banking Groupconsumer protection violation2012UK-FSA£4,200,000
Bank of ScotlandLloyds Banking Groupprivacy violation2013UK-ICO£75,000
Bank of Scotland PlcLloyds Banking Groupinvestor protection violation2011UK-FSA£3,500,000
Bank of Tokyo Mitsubishi UFJ LimitedMitsubishi UFJ Financial Groupinternal controls deficiency2017UK-PRA£17,850,000
BarclaysBarclaysconsumer protection violation2022UK-CMA£0
BarclaysBarclaysconsumer protection violation2022UK-CMA£1,000,000
BarclaysBarclaysconsumer protection violation2022UK-PSR£8,400,000
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 LimitedArdonagh Groupinvestor 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
Buck Consultants LimitedArthur J. Gallagher & Co.labour standards violation2022UK-EHRC£0
Busways Travel Services LimitedDeutsche Banklabour standards violation2021UK-ET£32,299
CALA HOMES (MIDLANDS) LIMITEDLegal & General Group PLCenvironmental violation2013UK-EA£8,000
Cambus LimitedDeutsche Bankworkplace safety or health violation2013UK-HSE£555,401
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
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 violation2024UK-BEIS£17,087
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 International and Credit Suisse Securities (Europe) LtdUBSinternal controls deficiency2023UK-PRA£87,082,000
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