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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 TypeYearAgencyPenalty Amount sort icon
Credit SuisseUBSbanking violation2021UK-FCA£292,209,276
Barclays Bank plcBarclaysforeign exchange market manipulation2015UK-FCA£284,432,000
Glencore Energy (UK) LtdGlencorebribery2022UK-SFO£280,965,092
National Westminster Bank plcNatWest Group PLCanti-money-laundering deficiencies2021UK-FCA£264,772,619
UBS AGUBSforeign exchange market manipulation2014UK-FCA£233,814,000
Deutsche Bank AGDeutsche Bankinterest rate benchmark manipulation2015UK-FCA£226,800,000
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
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2017UK-FCA£163,076,224
UBS AGUBSinterest rate benchmark manipulation2012UK-FSA£160,000,000
JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2013UK-FCA£137,610,000
The Bank of New York Mellon International Limited et al.Bank of New York Melloninvestor protection violation2015UK-FCA£126,000,000
Southern WaterMacquariewater services violation2019UK-OFWAT£126,000,000
Lloyds Bank plc and Bank of Scotland plc and Black Horse LimitedLloyds Banking Groupinsurance violation2015UK-FCA£117,430,600
Santander UK PlcBanco Santanderanti-money-laundering deficiencies2022UK-FCA£107,793,300
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
Standard Chartered BankStandard Charteredanti-money-laundering deficiencies2019UK-FCA£102,163,200
Lloyds Bank General Insurance LimitedLloyds Banking Groupinsurance violation2021UK-FCA£90,688,400
SOUTHERN WATER SERVICES LTDMacquarieenvironmental violation2021UK-EA£90,000,000
The Royal Bank of Scotland plcNatWest Group PLCinterest rate benchmark manipulation2013UK-FSA£87,500,000
Credit Suisse International and Credit Suisse Securities (Europe) LtdUBSinternal controls deficiency2023UK-PRA£87,082,000
Barclays Bank plcBarclaysanti-money-laundering deficiencies2015UK-FCA£72,069,400
Lloyds Bank plc and Bank of Scotland plc and The Mortgage Business plcLloyds Banking Groupmortgage abuses2020UK-FCA£64,046,800
HSBC Bank plcHSBCanti-money-laundering deficiencies2021UK-FCA£63,946,800
Barclays Bank plcBarclaysinterest rate benchmark manipulation2012UK-FSA£59,500,000
HSBC Bank plc and HSBC UK Bank plcHSBCinternal controls deficiency2024UK-PRA£57,417,500
Goldman Sachs InternationalGoldman Sachsinvestor protection violation2020UK-FCA£48,308,400
Goldman Sachs InternationalGoldman Sachsrisk management failure2020UK-PRA£48,308,400
Standard Chartered BankStandard Charteredinternal controls deficiency2021UK-PRA£46,550,000
Bank of ScotlandLloyds Banking Groupbanking violation2019UK-FCA£45,500,000
Citigroup Global Markets Limited, Citibank N.A. London branch and Citibank Europe Plc UK branchCitigroupinternal controls deficiency2019UK-PRA£43,890,000
Royal Bank of Scotland Plc and National Westminster Bank Plc and Ulster Bank PlcNatWest Group PLCbanking violation2014UK-FCA£42,000,000
Commerzbank AGCommerzbankanti-money-laundering deficiencies2020UK-FCA£37,805,400
Barclays Bank plcBarclaysinvestor protection violation2014UK-FCA£37,745,000
Merrill Lynch InternationalBank of Americainvestor protection violation2017UK-FCA£34,524,000
Goldman Sachs InternationalGoldman Sachsinvestor protection violation2019UK-FCA£34,344,700
J.P. Morgan Securities Ltd.JPMorgan Chaseinvestor protection violation2010UK-FSA£33,320,000
Santander UK plcBanco Santanderbanking violation2018UK-FCA£32,817,800
MastercardMasterCardprice-fixing or anti-competitive practices2022UK-PSR£31,560,062
Standard Life Assurance LimitedPhoenix Group Holdings PLCinvestor protection violation2019UK-FCA£30,792,500
TSB Bank plcBanco de Sabadellinternal controls deficiency2022UK-FCA£29,750,000
UBS AGUBSinvestor protection violation2012UK-FSA£29,700,000
Royal Bank of Scotland Group plcNatWest Group PLCprice-fixing or anti-competitive practices2011UK-OFT£28,590,000
Lloyds Bank plc and Bank of Scotland plcLloyds Banking Groupinvestor protection violation2013UK-FCA£28,038,800
UBS AGUBSinvestor protection violation2019UK-FCA£27,599,400
Barclays Bank UK PLC and Barclays Bank PLC and Clydesdale Financial Services Ltd.Barclaysconsumer protection violation2020UK-FCA£26,056,400
Barclays Bank plcBarclaysinvestor protection violation2014UK-FCA£26,033,500
The Prudential Assurance Company LimitedM&G PLCinvestor protection violation2019UK-FCA£23,875,000
State Street Bank Europe Limited and State Street Global Markets International LimitedState Street Corp.investor protection violation2014UK-FCA£22,885,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinabribery2015UK-SFO£21,730,000
Clydesdale Bank PLCVirgin Money UK PLCinsurance violation2015UK-FCA£20,678,300
Standard Chartered BankStandard Charteredeconomic sanction violation2020UK-OFSI£20,471,810
Santander UK plcBanco Santanderbanking violation2019UK-CMA£19,000,000
TSB Bank plcBanco de Sabadellinternal controls deficiency2022UK-PRA£18,900,000
Invesco Asset Management Limited and Invesco Fund Managers LimitedInvescoinvestor protection violation2014UK-FCA£18,643,000
Julius Baer International LimitedJulius Baer Groupinvestor protection violation2022UK-FCA£18,022,500
Bank of Tokyo Mitsubishi UFJ LimitedMitsubishi UFJ Financial Groupinternal controls deficiency2017UK-PRA£17,850,000
Aviva Investors Global Services LimitedAviva PLCinvestor protection violation2015UK-FCA£17,607,000
Goldman Sachs InternationalGoldman Sachsinvestor protection violation2010UK-FSA£17,500,000
The Prudential Assurance Company LimitedM&G PLCinvestor protection violation2013UK-FSA£16,000,000
Tullett Prebon (Europe) LimitedTP ICAP PLCinvestor protection violation2019UK-FCA£15,400,000
The Royal Bank of Scotland plc and National Westminster Bank PlcNatWest Group PLCmortgage abuses2014UK-FCA£14,474,600
ICAP Europe LtdTP ICAP PLCinterest rate benchmark manipulation2013UK-FCA£14,000,000
Prudential plcPrudential PLCinvestor protection violation2013UK-FSA£14,000,000
Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd.NatWest Group PLCinternal controls deficiency2014UK-PRA£14,000,000
Vanquis Bank LimitedVanquis Banking Groupconsumer protection violation2018UK-FCA£13,852,000
Merrill Lynch InternationalBank of Americainvestor protection violation2015UK-FCA£13,285,900
Citigroup Global Markets LimitedCitigroupinvestor protection violation2022UK-FCA£12,553,800
PayPoint PlcPayPoint Groupenergy market violation2021UK-OFGEM£12,500,000
Santander UK plcBanco Santanderinvestor protection violation2014UK-FCA£12,377,800
Metro Bank plcMetro Bank PLCbanking violation2020UK-CMA£11,400,000
Barclays Bank PlcBarclaysconsumer protection violation2022UK-FCA£10,860,743
HSBC Bank plcHSBCinvestor protection violation2011UK-FSA£10,500,000
Metro Bank PLCMetro Bank PLCaccounting fraud or deficiencies2022UK-FCA£10,002,300
Blackrock Investment Management (UK) LimitedBlackRockinvestor protection violation2012UK-FSA£9,533,100
UBS AGUBSinvestor protection violation2013UK-FSA£9,450,000
GAM International Management LtdGAM Holding AGinvestor protection violation2022UK-FCA£9,103,523
Charles Schwab UK Ltd.Charles Schwab Corp.investor protection violation2020UK-FCA£8,963,200
MUFG Securities EMEA plcMitsubishi UFJ Financial Groupinternal controls deficiency2017UK-PRA£8,925,000
Clydesdale Bank PLCVirgin Money UK PLCconsumer protection violation2013UK-FCA£8,904,000
Coutts & CompanyNatWest Group PLCanti-money-laundering deficiencies2012UK-FSA£8,750,000
BarclaysBarclaysconsumer protection violation2022UK-PSR£8,400,000
Aviva Pension Trustees UK Limited and Aviva Wrap UK LimitedAviva PLCinvestor protection violation2016UK-FCA£8,246,800
HSBC Bank plcHSBCbanking violation2019UK-CMA£8,000,000
JLT Specialty LimitedMarsh & McLennananti-money-laundering deficiencies2022UK-FCA£7,881,700
Lloyds Banking GroupLloyds Banking Groupinterest rate benchmark manipulation2014UK-PRA£7,760,000
Barclays Bank plcBarclaysinvestor protection violation2011UK-FSA£7,700,000
Guaranty Trust Bank (UK) LimitedGuaranty Trust Bank PLCanti-money-laundering deficiencies2023UK-FCA£7,671,800
Standard Bank PLCIndustrial and Commercial Bank of Chinaanti-money-laundering deficiencies2014UK-FCA£7,640,400
Aberdeen Asset Managers Limited and Aberdeen Fund Management LimitedAbrdn PLCinvestor protection violation2013UK-FCA£7,192,500
Willis LimitedWillis Towers Watsonbribery2011UK-FSA£6,895,000
Coutts & CompanyNatWest Group PLCinvestor protection violation2011UK-FSA£6,300,000
Sesame LimitedAviva PLCinvestor protection violation2013UK-FCA£6,031,200
Nationwide Building SocietyNationwide Building Societybanking violation2019UK-CMA£6,000,000
Credit Suisse (UK) LimitedUBSinvestor protection violation2011UK-FSA£5,950,000
The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V.NatWest Group PLCinvestor protection violation2013UK-FCA£5,620,300
The Royal Bank of Scotland plc et al.NatWest Group PLCanti-money-laundering deficiencies2010UK-FSA£5,600,000
Morgan Stanley & Co. International plcMorgan Stanleyenergy market violation2023UK-OFGEM£5,411,149