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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.

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CompanyParentOffence TypeYear sort iconAgencyPenalty Amount
Southern Water Services LimitedMacquarieenvironmental violation2014UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2014UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2014UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2014UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2014UK-EA£0
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
Lloyds Bank plc and Bank of Scotland plcLloyds Banking Groupinterest rate benchmark manipulation2014UK-FCA£105,000,000
Credit Suisse InternationalUBSinvestor protection violation2014UK-FCA£2,398,100
Yorkshire Building SocietyYorkshire Building Societyinvestor protection violation2014UK-FCA£1,429,000
Barclays Bank plcBarclaysinvestor protection violation2014UK-FCA£26,033,500
Invesco Asset Management Limited and Invesco Fund Managers LimitedInvescoinvestor protection violation2014UK-FCA£18,643,000
Santander UK plcBanco Santanderinvestor protection violation2014UK-FCA£12,377,800
Besso LimitedArdonagh Groupinvestor protection violation2014UK-FCA£315,000
State Street Bank Europe Limited and State Street Global Markets International LimitedState Street Corp.investor protection violation2014UK-FCA£22,885,000
Standard Bank PLCIndustrial and Commercial Bank of Chinaanti-money-laundering deficiencies2014UK-FCA£7,640,400
AIB Group (UK) plc dba First Trust BankAllied Irish Banksbanking violation2014UK-CMA£0
HSBC Bank plcHSBCbanking violation2014UK-CMA£0
International Automotive Components Group LimitedInvescoworkplace safety or health violation2014UK-HSE£9,310
Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd.NatWest Group PLCinternal controls deficiency2014UK-PRA£14,000,000
Lloyds Banking GroupLloyds Banking Groupinterest rate benchmark manipulation2014UK-PRA£7,760,000
Scottish LifeRoyal London Mutual Insurancepension plan violation2014UK-TPO£3,075
Aon Hewitt LtdAonpension plan violation2014UK-TPO£800
Friends LifeAviva PLCpension plan violation2014UK-TPO£0
AEGONAegonpension plan violation2014UK-TPO£200
AegonAegonpension plan violation2014UK-TPO£1,425
Abbey LifePhoenix Group Holdings PLCpension plan violation2014UK-TPO£500
Phoenix Life LtdPhoenix Group Holdings PLCpension plan violation2014UK-TPO£200
Standard Life Assurance LimitedPhoenix Group Holdings PLCpension plan violation2014UK-TPO£300
Phoenix Life LtdPhoenix Group Holdings PLCpension plan violation2014UK-TPO£250
Friends Life LimitedAviva PLCpension plan violation2014UK-TPO£0
Friends LifeAviva PLCpension plan violation2014UK-TPO£900
Mercer Limited (Mercer)Marsh & McLennanpension plan violation2014UK-TPO£0
PrudentialPrudential PLCpension plan violation2014UK-TPO£0
Friends Life Services LimitedAviva PLCpension plan violation2014UK-TPO£2,300
JLT Benefit SolutionsMarsh & McLennanpension plan violation2014UK-TPO£400
Scottish Equitable plc (AEGON)Aegonpension plan violation2014UK-TPO£2,000
Standard Life Assurance LimitedPhoenix Group Holdings PLCpension plan violation2014UK-TPO£200
Southern Water Services LtdMacquarieenvironmental violation2014UK-EA£10,000
Southern Water Services LtdMacquarieenvironmental violation2014UK-EA£0
SOUTHERN WATER SERVICES LTDMacquarieenvironmental violation2014UK-EA£0
Southern Water Services LtdMacquarieenvironmental violation2014UK-EA£40,000
Southern Water Services LtdMacquarieenvironmental violation2014UK-EA£0
Southern Water Services LtdMacquarieenvironmental violation2014UK-EA£519,224
Southern Water Services LimitedMacquarieenvironmental violation2015UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2015UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2015UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2015UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2015UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2015UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2015UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2015UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2015UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2015UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2015UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2015UK-EA£0
Barclays Bank plcBarclaysanti-money-laundering deficiencies2015UK-FCA£72,069,400
Lloyds Bank plc and Bank of Scotland plc and Black Horse LimitedLloyds Banking Groupinsurance violation2015UK-FCA£117,430,600
Barclays Bank plcBarclaysforeign exchange market manipulation2015UK-FCA£284,432,000
Deutsche Bank AGDeutsche Bankinterest rate benchmark manipulation2015UK-FCA£226,800,000
Merrill Lynch InternationalBank of Americainvestor protection violation2015UK-FCA£13,285,900
The Bank of New York Mellon International Limited et al.Bank of New York Melloninvestor protection violation2015UK-FCA£126,000,000
Clydesdale Bank PLCVirgin Money UK PLCinsurance violation2015UK-FCA£20,678,300
Aviva Investors Global Services LimitedAviva PLCinvestor protection violation2015UK-FCA£17,607,000
Co-operative Bank PlcCo-operative Bankinternal controls deficiency2015UK-PRA£0
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinabribery2015UK-SFO£21,730,000
Abbey Life Assurance Company LimitedPhoenix Group Holdings PLCpension plan violation2015UK-TPO£8,353
Towers Watson LimitedWillis Towers Watsonpension plan violation2015UK-TPO£750
Standard LifePhoenix Group Holdings PLCpension plan violation2015UK-TPO£3,395
AXA WealthPhoenix Group Holdings PLCpension plan violation2015UK-TPO£50
St James' Place Wealth ManagementSt. James's Place PLCpension plan violation2015UK-TPO£50
Prudential Assurance Company LimitedM&G PLCpension plan violation2015UK-TPO£0
Phoenix Life LimitedPhoenix Group Holdings PLCpension plan violation2015UK-TPO£0
Fidelity InvestmentsFidelity Investmentspension plan violation2015UK-TPO£100
Towers WatsonWillis Towers Watsonpension plan violation2015UK-TPO£100
Friends LifeAviva PLCpension plan violation2015UK-TPO£100
Scottish Widows plcLloyds Banking Grouppension plan violation2015UK-TPO£0
AON HewitAonpension plan violation2015UK-TPO£1,570
Scottish Widows plcLloyds Banking Grouppension plan violation2015UK-TPO£37,067
Standard Life Assurance LimitedPhoenix Group Holdings PLCpension plan violation2015UK-TPO£0
Southern Water Services LtdMacquarieenvironmental violation2015UK-EA£0
Southern Water Services Limited Registered CompanyMacquarieenvironmental violation2015UK-EA£0
Southern Water Services Limited Registered CompanyMacquarieenvironmental violation2015UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2015UK-EA£0
Parley Court Solar Park LtdThe Renewables Infrastructure Groupenvironmental violation2015UK-EA£0
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2015UK-EA£160,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2015UK-EA£0
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2015UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2016UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2016UK-EA£0
Southern Water Services LimitedMacquarieenvironmental violation2016UK-EA£0