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Violation Tracker UK Parent Industry Summary Page

Parent Industry: financial services
Penalty Total since 2010: £5,860,158,243
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£704,658,93132
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 TypeYearAgency sort iconPenalty Amount
WSR Recycling LimitedMacquarieworkplace safety or health violation2016UK-HSE£0
International Automotive Components Group LimitedInvescoworkplace safety or health violation2014UK-HSE£9,310
Cambus LimitedDeutsche Bankworkplace safety or health violation2013UK-HSE£555,401
Allianz Engineering Inspection Services LtdAllianzworkplace safety or health violation2010UK-HSE£14,232
East Kent Road Car Company LimitedDeutsche Bankworkplace safety or health violation2022UK-HSE£0
Alliance Medical LimitediCON Infrastructureworkplace safety or health violation2022UK-HSE£311,382
Alliance Medical Radiopharmacy LimitediCON Infrastructureworkplace safety or health violation2022UK-HSE£131,382
Stagecoach Devon LimitedDeutsche Bankworkplace safety or health violation2022UK-HSE£398,000
Associated Waste Management LimitedMacquarieworkplace safety or health violation2021UK-HSE£776,170
BNY Mellon Corporate Trustee Services Ltd TCSPBank of New York Mellonanti-money-laundering deficiencies2021UK-HMRC£9,465
Generali Worldwide Insurance Company LimitedAssicurazioni Generaliinsurance violation2013UK-GFSC£150,000
DB UK Bank Limited dba DB MortgagesDeutsche Bankmortgage abuses2010UK-FSA£2,340,000
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
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
Combined Insurance Company of AmericaChubb Limitedinsurance violation2011UK-FSA£2,800,000
Integrated Financial Arrangements plcIntegraFin Holdings PLCinvestor protection violation2011UK-FSA£3,500,000
HSBC Bank plcHSBCinvestor protection violation2011UK-FSA£10,500,000
Coutts & CompanyNatWest Group PLCinvestor protection violation2011UK-FSA£6,300,000
Credit Suisse (UK) LimitedUBSinvestor protection violation2011UK-FSA£5,950,000
Willis LimitedWillis Towers Watsonbribery2011UK-FSA£6,895,000
Bank of Scotland PlcLloyds Banking Groupinvestor protection violation2011UK-FSA£3,500,000
Norwich and Peterborough Building SocietyYorkshire Building Societyinvestor protection violation2011UK-FSA£1,400,000
Barclays Capital Securities LimitedBarclaysinvestor protection violation2011UK-FSA£1,127,559
Barclays Bank plcBarclaysinvestor protection violation2011UK-FSA£7,700,000
Royal Bank of Scotland Plc and National Westminster Bank PlcNatWest Group PLCconsumer protection violation2011UK-FSA£2,800,000
Scottish Equitable PLCAegoninvestor protection violation2010UK-FSA£2,800,000
Goldman Sachs InternationalGoldman Sachsinvestor protection violation2010UK-FSA£17,500,000
Societe GeneraleSociete Generaleinvestor protection violation2010UK-FSA£1,575,000
Zurich Insurance PlcZurich Insuranceprivacy violation2010UK-FSA£2,275,000
The Royal Bank of Scotland plc et al.NatWest Group PLCanti-money-laundering deficiencies2010UK-FSA£5,600,000
Rowan Dartington & Co LimitedSt. James's Place PLCinvestor protection violation2010UK-FSA£511,000
Close Investments LimitedClose Brothers Group PLCinvestor protection violation2010UK-FSA£98,000
J.P. Morgan Securities Ltd.JPMorgan Chaseinvestor protection violation2010UK-FSA£33,320,000
Commerzbank AGCommerzbankinvestor protection violation2010UK-FSA£595,000
Winterflood Securities LimitedClose Brothers Group PLCinvestor protection violation2010UK-FSA£4,052,500
Credit Suisse Securities (Europe) Limited et al.UBSinvestor protection violation2010UK-FSA£1,750,000
Instinet Europe LimitedNomurainvestor protection violation2010UK-FSA£1,050,000
Standard Life Assurance LimitedPhoenix Group Holdings PLCinvestor protection violation2010UK-FSA£2,450,000
Lloyds Banking GroupLloyds Banking Groupconsumer protection violation2013UK-FCA£4,315,000
Lloyds Bank General Insurance LimitedLloyds Banking Groupinsurance violation2021UK-FCA£90,688,400
Charles Schwab UK Ltd.Charles Schwab Corp.investor protection violation2020UK-FCA£8,963,200
Barclays Bank UK PLC and Barclays Bank PLC and Clydesdale Financial Services Ltd.Barclaysconsumer protection violation2020UK-FCA£26,056,400
Goldman Sachs InternationalGoldman Sachsinvestor protection violation2020UK-FCA£48,308,400
Commerzbank AGCommerzbankanti-money-laundering deficiencies2020UK-FCA£37,805,400
Lloyds Bank plc and Bank of Scotland plc and The Mortgage Business plcLloyds Banking Groupmortgage abuses2020UK-FCA£64,046,800
Moneybarn LtdVanquis Banking Groupconsumer protection violation2020UK-FCA£2,774,400
Henderson Investment Funds Ltd.Janus Hendersoninvestor protection violation2019UK-FCA£1,867,900
Tullett Prebon (Europe) LimitedTP ICAP PLCinvestor protection violation2019UK-FCA£15,400,000
The Prudential Assurance Company LimitedM&G PLCinvestor protection violation2019UK-FCA£23,875,000
Standard Life Assurance LimitedPhoenix Group Holdings PLCinvestor protection violation2019UK-FCA£30,792,500
Bank of ScotlandLloyds Banking Groupbanking violation2019UK-FCA£45,500,000
Standard Chartered BankStandard Charteredanti-money-laundering deficiencies2019UK-FCA£102,163,200
Goldman Sachs InternationalGoldman Sachsinvestor protection violation2019UK-FCA£34,344,700
UBS AGUBSinvestor protection violation2019UK-FCA£27,599,400
Santander UK plcBanco Santanderbanking violation2018UK-FCA£32,817,800
Liberty Mutual Insurance Europe SELiberty Mutual Insuranceinsurance violation2018UK-FCA£5,280,800
Vanquis Bank LimitedVanquis Banking Groupconsumer protection violation2018UK-FCA£13,852,000
Interactive Brokers (UK)Interactive Brokers Groupinvestor protection violation2018UK-FCA£1,049,412
Merrill Lynch InternationalBank of Americainvestor protection violation2017UK-FCA£34,524,000
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2017UK-FCA£163,076,224
Aviva Pension Trustees UK Limited and Aviva Wrap UK LimitedAviva PLCinvestor protection violation2016UK-FCA£8,246,800
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
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