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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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CompanyParentOffence TypeYear sort icon . AgencyPenalty Amount
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£10,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£13,500
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£20,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£5,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£96,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£50,000
UBS AGUBSinterest rate benchmark manipulation2012UK-FSA£160,000,000
UBS AGUBSinvestor protection violation2012UK-FSA£29,700,000
Plus500UK LimitedPlus500 Limitedinvestor protection violation2012UK-FSA£205,128
Bank of ScotlandLloyds Banking Groupconsumer protection violation2012UK-FSA£4,200,000
Sun Life Assurance Company of Canada (UK) LimitedSun Life Financialinvestor protection violation2012UK-FSA£600,000
Blackrock Investment Management (UK) LimitedBlackRockinvestor protection violation2012UK-FSA£9,533,100
Barclays Bank plcBarclaysinterest rate benchmark manipulation2012UK-FSA£59,500,000
Coutts & CompanyNatWest Group PLCanti-money-laundering deficiencies2012UK-FSA£8,750,000
Santander UK plcBanco Santanderinvestor protection violation2012UK-FSA£1,500,000
UK Insurance LimitedDirect Line Insurance Group PLCinsurance violation2012UK-FSA£2,170,000
PrudentialPrudential PLCprivacy violation2012UK-ICO£50,000
Scottish Equitable plc (AEGON)Aegonpension plan violation2012UK-TPO£250
JLT Benefit Solutions LtdMarsh & McLennanpension plan violation2012UK-TPO£1,000
JLT Benefit Solutions LtdMarsh & McLennanpension plan violation2012UK-TPO£1,000
Prudential Assurance Company Limited.M&G PLCpension plan violation2012UK-TPO£7,171
Mercer LtdMarsh & McLennanpension plan violation2012UK-TPO£224
Aon HewittAonpension plan violation2012UK-TPO£112
BlackRock Life LimitedBlackRockpension plan violation2012UK-TPO£112
Aegon Scottish EquitableAegonpension plan violation2012UK-TPO£1,387
PrudentialPrudential PLCpension plan violation2012UK-TPO£1,387
Standard LifePhoenix Group Holdings PLCpension plan violation2012UK-TPO£1,000
Aegon Scottish Equitable plcAegonpension plan violation2012UK-TPO£100
JLT Benefit Solutions LtdMarsh & McLennanpension plan violation2012UK-TPO£500
HSBC Bank Pension Trust (UK) LimitedHSBCpension plan violation2012UK-TPO£500
Legal & GeneralLegal & General Group PLCpension plan violation2012UK-TPO£300
AegonAegonpension plan violation2012UK-TPO£10,500
Zurich Assurance LimitedZurich Insurancepension plan violation2012UK-TPO£5,795
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2012UK-EA£50,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2012UK-EA£5,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2012UK-EA£0
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2012UK-EA£8,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2012UK-EA£20,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2012UK-EA£10,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2012UK-EA£10,000
Southern WaterMacquarieenvironmental violation2012UK-DWI£26,498
Lloyds Banking GroupLloyds Banking Groupconsumer protection violation2013UK-FCA£4,315,000
JLT Specialty LimitedMarsh & McLennaninsurance violation2013UK-FCA£1,876,000
Lloyds Bank plc and Bank of Scotland plcLloyds Banking Groupinvestor protection violation2013UK-FCA£28,038,800
Cooperatieve Centrale Raiffeisen-Boerenleenbank B.A.Rabobankinterest rate benchmark manipulation2013UK-FCA£105,000,000
ICAP Europe LtdTP ICAP PLCinterest rate benchmark manipulation2013UK-FCA£14,000,000
Clydesdale Bank PLCVirgin Money UK PLCconsumer protection violation2013UK-FCA£8,904,000
JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2013UK-FCA£137,610,000
AXA Wealth Services LtdPhoenix Group Holdings PLCinvestor protection violation2013UK-FCA£1,802,200
Aberdeen Asset Managers Limited and Aberdeen Fund Management LimitedAbrdn PLCinvestor protection violation2013UK-FCA£7,192,500
Guaranty Trust Bank (UK) LimitedGuaranty Trust Bank PLCanti-money-laundering deficiencies2013UK-FCA£525,000
The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V.NatWest Group PLCinvestor protection violation2013UK-FCA£5,620,300
Sesame LimitedAviva PLCinvestor protection violation2013UK-FCA£6,031,200
J.P. Morgan International Bank LimitedJPMorgan Chaseinvestor protection violation2013UK-FCA£3,076,200
The Prudential Assurance Company LimitedM&G PLCinvestor protection violation2013UK-FSA£16,000,000
Prudential plcPrudential PLCinvestor protection violation2013UK-FSA£14,000,000
UBS AGUBSinvestor protection violation2013UK-FSA£9,450,000
The Royal Bank of Scotland plcNatWest Group PLCinterest rate benchmark manipulation2013UK-FSA£87,500,000
The Co-operative Bank plcCo-operative Bankconsumer protection violation2013UK-FSA£113,300
Bank of ScotlandLloyds Banking Groupprivacy violation2013UK-ICO£75,000
National Westminster Bank plcNatWest Group PLCconsumer protection violation2013UK-OFT£0
Royal Bank of Scotland plcNatWest Group PLCconsumer protection violation2013UK-OFT£0
ReAssure LimitedPhoenix Group Holdings PLCpension plan violation2013UK-TPO£2,401
Zurich Assurance LtdZurich Insurancepension plan violation2013UK-TPO£0
Mercer Ltd.Marsh & McLennanpension plan violation2013UK-TPO£350
Royal London Group (Scottish Life)Royal London Mutual Insurancepension plan violation2013UK-TPO£400
Scottish Widows plcLloyds Banking Grouppension plan violation2013UK-TPO£910
HSBC Bank Pension Trust (UK) LtdHSBCpension plan violation2013UK-TPO£150
JLT Actuaries & Consultants LtdMarsh & McLennanpension plan violation2013UK-TPO£150
AegonAegonpension plan violation2013UK-TPO£11,598
The Royal London Mutual Insurance SocietyRoyal London Mutual Insurancepension plan violation2013UK-TPO£300
Friends Life WL LimitedAviva PLCpension plan violation2013UK-TPO£200
Scottish LifeRoyal London Mutual Insurancepension plan violation2013UK-TPO£34,977
AONAonpension plan violation2013UK-TPO£54,850
Sun Life Financial of CanadaSun Life Financialpension plan violation2013UK-TPO£150
Scottish WidowsLloyds Banking Grouppension plan violation2013UK-TPO£250
JLT Benefit Solutions LtdMarsh & McLennanpension plan violation2013UK-TPO£300
ReAssure LtdPhoenix Group Holdings PLCpension plan violation2013UK-TPO£2,668
HSBC Bank Pension Trust (UK) LimitedHSBCpension plan violation2013UK-TPO£500
Towers WatsonWillis Towers Watsonpension plan violation2013UK-TPO£0
SOUTHERN WATER SERVICES LTDMacquarieenvironmental violation2013UK-EA£0
INFINIS (RE-GEN) LIMITED3i Infrastructure PLCenvironmental violation2013UK-EA£0
INFINIS (RE-GEN) LIMITED3i Infrastructure PLCenvironmental violation2013UK-EA£0
INFINIS (RE-GEN) LIMITED3i Infrastructure PLCenvironmental violation2013UK-EA£0
Southern Water Services LtdMacquarieenvironmental violation2013UK-EA£0
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2013UK-EA£0
CALA HOMES (MIDLANDS) LIMITEDLegal & General Group PLCenvironmental violation2013UK-EA£8,000
SOUTHERN WATER SERVICES LTDMacquarieenvironmental violation2013UK-EA£200,000
Generali Worldwide Insurance Company LimitedAssicurazioni Generaliinsurance violation2013UK-GFSC£150,000
UBS AGUBSforeign exchange market manipulation2014UK-FCA£233,814,000
Citibank N.A.Citigroupforeign exchange market manipulation2014UK-FCA£225,575,000
JPMorgan Chase Bank N.A.JPMorgan Chaseforeign exchange market manipulation2014UK-FCA£222,166,000
The Royal Bank of Scotland plcNatWest Group PLCforeign exchange market manipulation2014UK-FCA£217,000,000
HSBC Bank plcHSBCforeign exchange market manipulation2014UK-FCA£216,363,000
Royal Bank of Scotland Plc and National Westminster Bank Plc and Ulster Bank PlcNatWest Group PLCbanking violation2014UK-FCA£42,000,000
Chase de Vere Independent Financial Advisers LimitedSwiss Life Groupinvestor protection violation2014UK-FCA£560,000
Sesame LimitedAviva PLCinvestor protection violation2014UK-FCA£1,598,000
Yorkshire Building SocietyYorkshire Building Societymortgage abuses2014UK-FCA£4,135,600
Barclays Bank plcBarclaysinvestor protection violation2014UK-FCA£37,745,000
The Royal Bank of Scotland plc and National Westminster Bank PlcNatWest Group PLCmortgage abuses2014UK-FCA£14,474,600
Deutsche Bank AGDeutsche Bankinvestor protection violation2014UK-FCA£4,718,800