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 |
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 |
Cambus Limited | Deutsche Bank | workplace safety or health violation | 2013 | UK-HSE | £555,401 |
Bank of Scotland | Lloyds Banking Group | privacy violation | 2013 | UK-ICO | £75,000 |
National Westminster Bank plc | NatWest Group PLC | consumer protection violation | 2013 | UK-OFT | £0 |
Royal Bank of Scotland plc | NatWest Group PLC | consumer protection violation | 2013 | UK-OFT | £0 |
ReAssure Limited | Phoenix Group Holdings PLC | pension plan violation | 2013 | UK-TPO | £2,401 |
Zurich Assurance Ltd | Zurich Insurance | pension plan violation | 2013 | UK-TPO | £0 |
Mercer Ltd. | Marsh & McLennan | pension plan violation | 2013 | UK-TPO | £350 |
Royal London Group (Scottish Life) | Royal London Mutual Insurance | pension plan violation | 2013 | UK-TPO | £400 |
Scottish Widows plc | Lloyds Banking Group | pension plan violation | 2013 | UK-TPO | £910 |
HSBC Bank Pension Trust (UK) Ltd | HSBC | pension plan violation | 2013 | UK-TPO | £150 |
JLT Actuaries & Consultants Ltd | Marsh & McLennan | pension plan violation | 2013 | UK-TPO | £150 |
Aegon | Aegon | pension plan violation | 2013 | UK-TPO | £11,598 |
The Royal London Mutual Insurance Society | Royal London Mutual Insurance | pension plan violation | 2013 | UK-TPO | £300 |
Friends Life WL Limited | Aviva PLC | pension plan violation | 2013 | UK-TPO | £200 |
Scottish Life | Royal London Mutual Insurance | pension plan violation | 2013 | UK-TPO | £34,977 |
AON | Aon | pension plan violation | 2013 | UK-TPO | £54,850 |
Sun Life Financial of Canada | Sun Life Financial | pension plan violation | 2013 | UK-TPO | £150 |
Scottish Widows | Lloyds Banking Group | pension plan violation | 2013 | UK-TPO | £250 |
JLT Benefit Solutions Ltd | Marsh & McLennan | pension plan violation | 2013 | UK-TPO | £300 |
ReAssure Ltd | Phoenix Group Holdings PLC | pension plan violation | 2013 | UK-TPO | £2,668 |
HSBC Bank Pension Trust (UK) Limited | HSBC | pension plan violation | 2013 | UK-TPO | £500 |
Towers Watson | Willis Towers Watson | pension plan violation | 2013 | UK-TPO | £0 |
SOUTHERN WATER SERVICES LTD | Macquarie | environmental violation | 2013 | UK-EA | £0 |
INFINIS (RE-GEN) LIMITED | 3i Infrastructure PLC | environmental violation | 2013 | UK-EA | £0 |
INFINIS (RE-GEN) LIMITED | 3i Infrastructure PLC | environmental violation | 2013 | UK-EA | £0 |
INFINIS (RE-GEN) LIMITED | 3i Infrastructure PLC | environmental violation | 2013 | UK-EA | £0 |
Southern Water Services Ltd | Macquarie | environmental violation | 2013 | UK-EA | £0 |
SOUTHERN WATER SERVICES LIMITED | Macquarie | environmental violation | 2013 | UK-EA | £0 |
CALA HOMES (MIDLANDS) LIMITED | Legal & General Group PLC | environmental violation | 2013 | UK-EA | £8,000 |
SOUTHERN WATER SERVICES LTD | Macquarie | water pollution violation | 2013 | UK-EA | £200,000 |
Generali Worldwide Insurance Company Limited | Assicurazioni Generali | insurance violation | 2013 | UK-GFSC | £150,000 |
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 |
Prudential | Prudential PLC | privacy violation | 2012 | UK-ICO | £50,000 |
Scottish Equitable plc (AEGON) | Aegon | pension plan violation | 2012 | UK-TPO | £250 |
JLT Benefit Solutions Ltd | Marsh & McLennan | pension plan violation | 2012 | UK-TPO | £1,000 |
JLT Benefit Solutions Ltd | Marsh & McLennan | pension plan violation | 2012 | UK-TPO | £1,000 |
Stagecoach North East | Deutsche Bank | pension plan violation | 2012 | UK-TPO | £200 |
Prudential Assurance Company Limited. | M&G PLC | pension plan violation | 2012 | UK-TPO | £7,171 |
Mercer Ltd | Marsh & McLennan | pension plan violation | 2012 | UK-TPO | £224 |
Aon Hewitt | Aon | pension plan violation | 2012 | UK-TPO | £112 |
BlackRock Life Limited | BlackRock | pension plan violation | 2012 | UK-TPO | £112 |
Aegon Scottish Equitable | Aegon | pension plan violation | 2012 | UK-TPO | £1,387 |
Prudential | Prudential PLC | pension plan violation | 2012 | UK-TPO | £1,387 |
Standard Life | Phoenix Group Holdings PLC | pension plan violation | 2012 | UK-TPO | £1,000 |
Aegon Scottish Equitable plc | Aegon | pension plan violation | 2012 | UK-TPO | £100 |
JLT Benefit Solutions Ltd | Marsh & McLennan | pension plan violation | 2012 | UK-TPO | £500 |
HSBC Bank Pension Trust (UK) Limited | HSBC | pension plan violation | 2012 | UK-TPO | £500 |
Legal & General | Legal & General Group PLC | pension plan violation | 2012 | UK-TPO | £300 |
Aegon | Aegon | pension plan violation | 2012 | UK-TPO | £10,500 |
Zurich Assurance Limited | Zurich Insurance | pension plan violation | 2012 | UK-TPO | £5,795 |
Southern Water Services Limited | Macquarie | environmental violation | 2012 | UK-EA | £50,000 |
SOUTHERN WATER SERVICES LIMITED | Macquarie | environmental violation | 2012 | UK-EA | £5,000 |
SOUTHERN WATER SERVICES LIMITED | Macquarie | environmental violation | 2012 | UK-EA | £0 |
SOUTHERN WATER SERVICES LIMITED | Macquarie | environmental violation | 2012 | UK-EA | £8,000 |
SOUTHERN WATER SERVICES LIMITED | Macquarie | environmental violation | 2012 | UK-EA | £20,000 |
SOUTHERN WATER SERVICES LIMITED | Macquarie | environmental violation | 2012 | UK-EA | £10,000 |
SOUTHERN WATER SERVICES LIMITED | Macquarie | environmental violation | 2012 | UK-EA | £10,000 |
Southern Water | Macquarie | water pollution violation | 2012 | UK-DWI | £26,498 |
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 |
Aviva Insurance UK Ltd. | Aviva PLC | price-fixing or anti-competitive practices | 2011 | UK-OFT | £0 |
AXA Insurance UK plc | AXA | price-fixing or anti-competitive practices | 2011 | UK-OFT | £0 |
Liverpool Victoria Insurance Company Ltd | Allianz | price-fixing or anti-competitive practices | 2011 | UK-OFT | £0 |
Zurich Insurance plc | Zurich Insurance | price-fixing or anti-competitive practices | 2011 | UK-OFT | £0 |
Barclays Bank plc | Barclays | price-fixing or anti-competitive practices | 2011 | UK-OFT | £0 |
Royal Bank of Scotland Group plc | NatWest Group PLC | price-fixing or anti-competitive practices | 2011 | UK-OFT | £28,590,000 |
Abbey Life Assurance Company Limited | Phoenix Group Holdings PLC | pension plan violation | 2011 | UK-TPO | £350 |
Aegon | Aegon | pension plan violation | 2011 | UK-TPO | £19,861 |
Phoenix Life Limited | Phoenix Group Holdings PLC | pension plan violation | 2011 | UK-TPO | £250 |
Royal Bank of Scotland Group | NatWest Group PLC | pension plan violation | 2011 | UK-TPO | £350 |
Standard Life Assurance Ltd | Phoenix Group Holdings PLC | pension plan violation | 2011 | UK-TPO | £1,689 |
Aviva Life Services UK Limited | Aviva PLC | pension plan violation | 2011 | UK-TPO | £900 |
AEGON Scottish Equitable | Aegon | pension plan violation | 2011 | UK-TPO | £250 |