Yorkshire Building Society | Yorkshire Building Society | mortgage abuses | 2014 | UK-FCA | £4,135,600 |
Barclays Bank plc | Barclays | investor protection violation | 2014 | UK-FCA | £37,745,000 |
The Royal Bank of Scotland plc and National Westminster Bank Plc | NatWest Group PLC | mortgage abuses | 2014 | UK-FCA | £14,474,600 |
Deutsche Bank AG | Deutsche Bank | investor protection violation | 2014 | UK-FCA | £4,718,800 |
Lloyds Bank plc and Bank of Scotland plc | Lloyds Banking Group | interest rate benchmark manipulation | 2014 | UK-FCA | £105,000,000 |
Credit Suisse International | UBS | investor protection violation | 2014 | UK-FCA | £2,398,100 |
Yorkshire Building Society | Yorkshire Building Society | investor protection violation | 2014 | UK-FCA | £1,429,000 |
Barclays Bank plc | Barclays | investor protection violation | 2014 | UK-FCA | £26,033,500 |
Invesco Asset Management Limited and Invesco Fund Managers Limited | Invesco | investor protection violation | 2014 | UK-FCA | £18,643,000 |
Santander UK plc | Banco Santander | investor protection violation | 2014 | UK-FCA | £12,377,800 |
Besso Limited | Ardonagh Group | investor protection violation | 2014 | UK-FCA | £315,000 |
State Street Bank Europe Limited and State Street Global Markets International Limited | State Street Corp. | investor protection violation | 2014 | UK-FCA | £22,885,000 |
Standard Bank PLC | Industrial and Commercial Bank of China | anti-money-laundering deficiencies | 2014 | UK-FCA | £7,640,400 |
JLT Specialty Limited | Marsh & McLennan | insurance violation | 2013 | UK-FCA | £1,876,000 |
Lloyds Bank plc and Bank of Scotland plc | Lloyds Banking Group | investor protection violation | 2013 | UK-FCA | £28,038,800 |
Cooperatieve Centrale Raiffeisen-Boerenleenbank B.A. | Rabobank | interest rate benchmark manipulation | 2013 | UK-FCA | £105,000,000 |
ICAP Europe Ltd | TP ICAP PLC | interest rate benchmark manipulation | 2013 | UK-FCA | £14,000,000 |
Clydesdale Bank PLC | Virgin Money UK PLC | consumer protection violation | 2013 | UK-FCA | £8,904,000 |
JPMorgan Chase Bank N.A. | JPMorgan Chase | investor protection violation | 2013 | UK-FCA | £137,610,000 |
AXA Wealth Services Ltd | Phoenix Group Holdings PLC | investor protection violation | 2013 | UK-FCA | £1,802,200 |
Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited | Abrdn PLC | investor protection violation | 2013 | UK-FCA | £7,192,500 |
Guaranty Trust Bank (UK) Limited | Guaranty Trust Bank PLC | anti-money-laundering deficiencies | 2013 | UK-FCA | £525,000 |
The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V. | NatWest Group PLC | investor protection violation | 2013 | UK-FCA | £5,620,300 |
Sesame Limited | Aviva PLC | investor protection violation | 2013 | UK-FCA | £6,031,200 |
J.P. Morgan International Bank Limited | JPMorgan Chase | investor protection violation | 2013 | UK-FCA | £3,076,200 |
Credit Suisse | UBS | banking violation | 2021 | UK-FCA | £292,209,276 |
Sunrise Brokers LLP | BGC Partners | anti-money-laundering deficiencies | 2021 | UK-FCA | £642,400 |
HSBC Bank plc | HSBC | anti-money-laundering deficiencies | 2021 | UK-FCA | £63,946,800 |
National Westminster Bank plc | NatWest Group PLC | anti-money-laundering deficiencies | 2021 | UK-FCA | £264,772,619 |
Barclays Bank Plc | Barclays | consumer protection violation | 2022 | UK-FCA | £10,860,743 |
JLT Specialty Limited | Marsh & McLennan | anti-money-laundering deficiencies | 2022 | UK-FCA | £7,881,700 |
GAM International Management Ltd | GAM Holding AG | investor protection violation | 2022 | UK-FCA | £9,103,523 |
Citigroup Global Markets Limited | Citigroup | investor protection violation | 2022 | UK-FCA | £12,553,800 |
Metro Bank PLC | Metro Bank PLC | accounting fraud or deficiencies | 2022 | UK-FCA | £10,002,300 |
Santander UK Plc | Banco Santander | anti-money-laundering deficiencies | 2022 | UK-FCA | £107,793,300 |
Julius Baer International Limited | Julius Baer Group | investor protection violation | 2022 | UK-FCA | £18,022,500 |
Guaranty Trust Bank (UK) Limited | Guaranty Trust Bank PLC | anti-money-laundering deficiencies | 2023 | UK-FCA | £7,671,800 |
TSB Bank plc | Banco de Sabadell | internal controls deficiency | 2022 | UK-FCA | £29,750,000 |
DB UK Bank Limited dba DB Mortgages | Deutsche Bank | mortgage abuses | 2010 | UK-FSA | £2,340,000 |
The Prudential Assurance Company Limited | M&G PLC | investor protection violation | 2013 | UK-FSA | £16,000,000 |
Prudential plc | Prudential PLC | investor protection violation | 2013 | UK-FSA | £14,000,000 |
UBS AG | UBS | investor protection violation | 2013 | UK-FSA | £9,450,000 |
The Royal Bank of Scotland plc | NatWest Group PLC | interest rate benchmark manipulation | 2013 | UK-FSA | £87,500,000 |
The Co-operative Bank plc | Co-operative Bank | consumer protection violation | 2013 | UK-FSA | £113,300 |
UBS AG | UBS | interest rate benchmark manipulation | 2012 | UK-FSA | £160,000,000 |
UBS AG | UBS | investor protection violation | 2012 | UK-FSA | £29,700,000 |
Plus500UK Limited | Plus500 Limited | investor protection violation | 2012 | UK-FSA | £205,128 |
Bank of Scotland | Lloyds Banking Group | consumer protection violation | 2012 | UK-FSA | £4,200,000 |
Sun Life Assurance Company of Canada (UK) Limited | Sun Life Financial | investor protection violation | 2012 | UK-FSA | £600,000 |
Blackrock Investment Management (UK) Limited | BlackRock | investor protection violation | 2012 | UK-FSA | £9,533,100 |
Barclays Bank plc | Barclays | interest rate benchmark manipulation | 2012 | UK-FSA | £59,500,000 |
Coutts & Company | NatWest Group PLC | anti-money-laundering deficiencies | 2012 | UK-FSA | £8,750,000 |
Santander UK plc | Banco Santander | investor protection violation | 2012 | UK-FSA | £1,500,000 |
UK Insurance Limited | Direct Line Insurance Group PLC | insurance violation | 2012 | UK-FSA | £2,170,000 |
Combined Insurance Company of America | Chubb Limited | insurance violation | 2011 | UK-FSA | £2,800,000 |
Integrated Financial Arrangements plc | IntegraFin Holdings PLC | investor protection violation | 2011 | UK-FSA | £3,500,000 |
HSBC Bank plc | HSBC | investor protection violation | 2011 | UK-FSA | £10,500,000 |
Coutts & Company | NatWest Group PLC | investor protection violation | 2011 | UK-FSA | £6,300,000 |
Credit Suisse (UK) Limited | UBS | investor protection violation | 2011 | UK-FSA | £5,950,000 |
Willis Limited | Willis Towers Watson | bribery | 2011 | UK-FSA | £6,895,000 |
Bank of Scotland Plc | Lloyds Banking Group | investor protection violation | 2011 | UK-FSA | £3,500,000 |
Norwich and Peterborough Building Society | Yorkshire Building Society | investor protection violation | 2011 | UK-FSA | £1,400,000 |
Barclays Capital Securities Limited | Barclays | investor protection violation | 2011 | UK-FSA | £1,127,559 |
Barclays Bank plc | Barclays | investor protection violation | 2011 | UK-FSA | £7,700,000 |
Royal Bank of Scotland Plc and National Westminster Bank Plc | NatWest Group PLC | consumer protection violation | 2011 | UK-FSA | £2,800,000 |
Scottish Equitable PLC | Aegon | investor protection violation | 2010 | UK-FSA | £2,800,000 |
Goldman Sachs International | Goldman Sachs | investor protection violation | 2010 | UK-FSA | £17,500,000 |
Societe Generale | Societe Generale | investor protection violation | 2010 | UK-FSA | £1,575,000 |
Zurich Insurance Plc | Zurich Insurance | privacy violation | 2010 | UK-FSA | £2,275,000 |
The Royal Bank of Scotland plc et al. | NatWest Group PLC | anti-money-laundering deficiencies | 2010 | UK-FSA | £5,600,000 |
Rowan Dartington & Co Limited | St. James's Place PLC | investor protection violation | 2010 | UK-FSA | £511,000 |
Close Investments Limited | Close Brothers Group PLC | investor protection violation | 2010 | UK-FSA | £98,000 |
J.P. Morgan Securities Ltd. | JPMorgan Chase | investor protection violation | 2010 | UK-FSA | £33,320,000 |
Commerzbank AG | Commerzbank | investor protection violation | 2010 | UK-FSA | £595,000 |
Winterflood Securities Limited | Close Brothers Group PLC | investor protection violation | 2010 | UK-FSA | £4,052,500 |
Credit Suisse Securities (Europe) Limited et al. | UBS | investor protection violation | 2010 | UK-FSA | £1,750,000 |
Instinet Europe Limited | Nomura | investor protection violation | 2010 | UK-FSA | £1,050,000 |
Standard Life Assurance Limited | Phoenix Group Holdings PLC | investor protection violation | 2010 | UK-FSA | £2,450,000 |
Generali Worldwide Insurance Company Limited | Assicurazioni Generali | insurance violation | 2013 | UK-GFSC | £150,000 |
BNY Mellon Corporate Trustee Services Ltd TCSP | Bank of New York Mellon | anti-money-laundering deficiencies | 2021 | UK-HMRC | £9,465 |
Scotwaste Recycling Limited | Macquarie | workplace safety or health violation | 2021 | UK-HSE | £0 |
Alliance Medical Radiopharmacy Limited | iCON Infrastructure | workplace safety or health violation | 2019 | UK-HSE | £0 |
Alliance Medical Radiopharmacy Limited | iCON Infrastructure | workplace safety or health violation | 2019 | UK-HSE | £0 |
Alliance Medical Radiopharmacy Limited | iCON Infrastructure | workplace safety or health violation | 2019 | UK-HSE | £0 |
Stagecoach Devon Limited | Deutsche Bank | workplace safety or health violation | 2019 | UK-HSE | £0 |
Associated Waste Management Limited | Macquarie | workplace safety or health violation | 2019 | UK-HSE | £0 |
Associated Waste Management Limited | Macquarie | workplace safety or health violation | 2019 | UK-HSE | £0 |
Alliance Medical Ltd | iCON Infrastructure | workplace safety or health violation | 2019 | UK-HSE | £0 |
Alliance Medical Ltd | iCON Infrastructure | workplace safety or health violation | 2019 | UK-HSE | £0 |
Alliance Medical Ltd | iCON Infrastructure | workplace safety or health violation | 2019 | UK-HSE | £0 |
Alliance Medical Ltd | iCON Infrastructure | workplace safety or health violation | 2019 | UK-HSE | £0 |
Associated Waste Management Limited | Macquarie | workplace safety or health violation | 2018 | UK-HSE | £0 |
BNP Paribas Real Estate Advisory & Property Manage | BNP Paribas | workplace safety or health violation | 2017 | UK-HSE | £0 |
Alliance Medical Ltd | iCON Infrastructure | workplace safety or health violation | 2017 | UK-HSE | £0 |
Alliance Medical Ltd | iCON Infrastructure | workplace safety or health violation | 2017 | UK-HSE | £0 |
Alliance Medical Ltd | iCON Infrastructure | workplace safety or health violation | 2017 | UK-HSE | £0 |
WSR Recycling Limited | Macquarie | workplace safety or health violation | 2016 | UK-HSE | £0 |
International Automotive Components Group Limited | Invesco | workplace safety or health violation | 2014 | UK-HSE | £9,310 |
Cambus Limited | Deutsche Bank | workplace safety or health violation | 2013 | UK-HSE | £555,401 |
Allianz Engineering Inspection Services Ltd | Allianz | workplace safety or health violation | 2010 | UK-HSE | £14,232 |
East Kent Road Car Company Limited | Deutsche Bank | workplace safety or health violation | 2022 | UK-HSE | £0 |