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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 Type sort iconYearAgencyPenalty Amount
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
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
UBS AGUBSinvestor protection violation2012UK-FSA£29,700,000
Plus500UK LimitedPlus500 Limitedinvestor protection violation2012UK-FSA£205,128
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
Santander UK plcBanco Santanderinvestor protection violation2012UK-FSA£1,500,000
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
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
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
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
PayPal Holdings, Inc. and PayPal (Europe) Sarl et Cie SCA and PayPal SEPayPal Holdingsinvestor protection violation2019UK-CMA£250,000
GAM International Management LtdGAM Holding AGinvestor protection violation2022UK-FCA£9,103,523
Citigroup Global Markets LimitedCitigroupinvestor protection violation2022UK-FCA£12,553,800
Julius Baer International LimitedJulius Baer Groupinvestor protection violation2022UK-FCA£18,022,500
HSBC Bank plc and HSBC UK Bank plcHSBCinternal controls deficiency2024UK-PRA£57,417,500
Credit Suisse International and Credit Suisse Securities (Europe) LtdUBSinternal controls deficiency2023UK-PRA£87,082,000
Citigroup Global Markets Limited, Citibank N.A. London branch and Citibank Europe Plc UK branchCitigroupinternal controls deficiency2019UK-PRA£43,890,000
Bank of Tokyo Mitsubishi UFJ LimitedMitsubishi UFJ Financial Groupinternal controls deficiency2017UK-PRA£17,850,000
MUFG Securities EMEA plcMitsubishi UFJ Financial Groupinternal controls deficiency2017UK-PRA£8,925,000
Co-operative Bank PlcCo-operative Bankinternal controls deficiency2015UK-PRA£0
Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd.NatWest Group PLCinternal controls deficiency2014UK-PRA£14,000,000
Metro Bank plcMetro Bank PLCinternal controls deficiency2021UK-PRA£5,376,000
Standard Chartered BankStandard Charteredinternal controls deficiency2021UK-PRA£46,550,000
TSB Bank plcBanco de Sabadellinternal controls deficiency2022UK-FCA£29,750,000
TSB Bank plcBanco de Sabadellinternal controls deficiency2022UK-PRA£18,900,000
Deutsche Bank AGDeutsche Bankinterest rate benchmark manipulation2015UK-FCA£226,800,000
Lloyds Bank plc and Bank of Scotland plcLloyds Banking Groupinterest rate benchmark manipulation2014UK-FCA£105,000,000
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
The Royal Bank of Scotland plcNatWest Group PLCinterest rate benchmark manipulation2013UK-FSA£87,500,000
UBS AGUBSinterest rate benchmark manipulation2012UK-FSA£160,000,000
Barclays Bank plcBarclaysinterest rate benchmark manipulation2012UK-FSA£59,500,000
Lloyds Banking GroupLloyds Banking Groupinterest rate benchmark manipulation2014UK-PRA£7,760,000
Lloyds Bank General Insurance LimitedLloyds Banking Groupinsurance violation2021UK-FCA£90,688,400
Liberty Mutual Insurance Europe SELiberty Mutual Insuranceinsurance violation2018UK-FCA£5,280,800
Lloyds Bank plc and Bank of Scotland plc and Black Horse LimitedLloyds Banking Groupinsurance violation2015UK-FCA£117,430,600
Clydesdale Bank PLCVirgin Money UK PLCinsurance violation2015UK-FCA£20,678,300
JLT Specialty LimitedMarsh & McLennaninsurance violation2013UK-FCA£1,876,000
UK Insurance LimitedDirect Line Insurance Group PLCinsurance violation2012UK-FSA£2,170,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2011UK-FSA£2,800,000
Cardif PinnacleBNP Paribasinsurance violation2021UK-CMA£0
Lloyds Banking Group plcLloyds Banking Groupinsurance violation2021UK-CMA£957,000
Cardif PinnacleBNP Paribasinsurance violation2020UK-CMA£0
Nationwide Building SocietyNationwide Building Societyinsurance violation2020UK-CMA£0
Nationwide Building SocietyNationwide Building Societyinsurance violation2019UK-CMA£2,000,000
Royal Bank of Scotland GroupNatWest Group PLCinsurance violation2019UK-CMA£1,500,000
Lloyds Banking GroupLloyds Banking Groupinsurance violation2018UK-CMA£0
Barclays Bank UK plcBarclaysinsurance violation2018UK-CMA£0
AvivaAviva PLCinsurance violation2017UK-CMA£0
Lloyds Banking GroupLloyds Banking Groupinsurance violation2017UK-CMA£0
Santander UK plcBanco Santanderinsurance violation2016UK-CMA£0
Barclays Bank UK plcBarclaysinsurance violation2016UK-CMA£0
Generali Worldwide Insurance Company LimitedAssicurazioni Generaliinsurance violation2013UK-GFSC£150,000
Barclays Bank plcBarclaysforeign exchange market manipulation2015UK-FCA£284,432,000
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
Roadchef LtdMacquarieEnvironmental Violation2020UK-NRW£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
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
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