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Violation Tracker UK Summary for Offence Group

Offence Group: financial offences
Penalty Total since 2010£3,266,033,084
Number of Penalty Cases: 2,359
Note: Includes records/cases without monetary penalties.
Top 10 Parent CompaniesTotal PenaltyNumber of Cases
NatWest Group PLC£363,717,5199
Credit Suisse£302,307,3764
JPMorgan Chase£174,006,2003
Standard Chartered£169,185,0103
Deutsche Bank£168,635,0243
Lloyds Banking Group£149,343,6009
Goldman Sachs£148,461,5004
Tesco PLC£148,400,0002
Barclays£144,677,3696
Bank of New York Mellon£126,009,4652

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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CompanyParentParent Major IndustryOffence TypeYearAgencyPenalty Amount sort icon
Credit SuisseCredit Suissefinancial servicesbanking violation2021UK-FCA£292,209,276
National Westminster Bank plcNatWest Group PLCfinancial servicesanti-money-laundering deficiencies2021UK-FCA£264,772,619
Deutsche Bank AGDeutsche Bankfinancial servicesanti-money-laundering deficiencies2017UK-FCA£163,076,224
JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2013UK-FCA£137,610,000
Tesco Stores LimitedTesco PLCretailingaccounting fraud or deficiencies2019UK-SFO£132,000,000
The Bank of New York Mellon International Limited et al.Bank of New York Mellonfinancial servicesinvestor protection violation2015UK-FCA£126,000,000
Standard Chartered BankStandard Charteredfinancial servicesanti-money-laundering deficiencies2019UK-FCA£102,163,200
Barclays Bank plcBarclaysfinancial servicesanti-money-laundering deficiencies2015UK-FCA£72,069,400
Lloyds Bank plc and Bank of Scotland plc and The Mortgage Business plcLloyds Banking Groupfinancial servicesmortgage abuses2020UK-FCA£64,046,800
HSBC Bank plcHSBCfinancial servicesanti-money-laundering deficiencies2021UK-FCA£63,946,800
Goldman Sachs InternationalGoldman Sachsfinancial servicesinvestor protection violation2020UK-FCA£48,308,400
Goldman Sachs InternationalGoldman Sachsfinancial servicesrisk management failure2020UK-PRA£48,308,400
Standard Chartered BankStandard Charteredfinancial servicesinternal controls deficiency2021UK-PRA£46,550,000
Bank of ScotlandLloyds Banking Groupfinancial servicesbanking violation2019UK-FCA£45,500,000
G4S Care and Justice Services (UK) LtdAllied Universal Security Servicesbusiness servicesfraud2020UK-SFO£44,400,000
Citigroup Global Markets Limited, Citibank N.A. London branch and Citibank Europe Plc UK branchCitigroupfinancial servicesinternal controls deficiency2019UK-PRA£43,890,000
Royal Bank of Scotland Plc and National Westminster Bank Plc and Ulster Bank PlcNatWest Group PLCfinancial servicesbanking violation2014UK-FCA£42,000,000
Commerzbank AGCommerzbankfinancial servicesanti-money-laundering deficiencies2020UK-FCA£37,805,400
Barclays Bank plcBarclaysfinancial servicesinvestor protection violation2014UK-FCA£37,745,000
Merrill Lynch InternationalBank of Americafinancial servicesinvestor protection violation2017UK-FCA£34,524,000
Goldman Sachs InternationalGoldman Sachsfinancial servicesinvestor protection violation2019UK-FCA£34,344,700
J.P. Morgan Securities Ltd.JPMorgan Chasefinancial servicesinvestor protection violation2010UK-FSA£33,320,000
Santander UK plcBanco Santanderfinancial servicesbanking violation2018UK-FCA£32,817,800
Standard Life Assurance LimitedPhoenix Group Holdings PLCfinancial servicesinvestor protection violation2019UK-FCA£30,792,500
UBS AGUBSfinancial servicesinvestor protection violation2012UK-FSA£29,700,000
Lloyds Bank plc and Bank of Scotland plcLloyds Banking Groupfinancial servicesinvestor protection violation2013UK-FCA£28,038,800
UBS AGUBSfinancial servicesinvestor protection violation2019UK-FCA£27,599,400
Rio Tinto plcRio Tintomining and mineralsaccounting fraud or deficiencies2017UK-FCA£27,385,400
Barclays Bank plcBarclaysfinancial servicesinvestor protection violation2014UK-FCA£26,033,500
Park First Limited et al. investor protection violation2021UK-FCA£25,000,000
The Prudential Assurance Company LimitedM&G PLCfinancial servicesinvestor protection violation2019UK-FCA£23,875,000
Serco Geografix LtdSerco Groupmiscellaneous servicesfraud2019UK-SFO£22,900,000
State Street Bank Europe Limited and State Street Global Markets International LimitedState Street Corp.financial servicesinvestor protection violation2014UK-FCA£22,885,000
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2020UK-FRC£20,635,014
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2020UK-OFSI£20,471,810
Santander UK plcBanco Santanderfinancial servicesbanking violation2019UK-CMA£19,000,000
Work Legal-E Ltd. tax violations2014UK-HMRC£18,747,375
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2022UK-FRC£18,667,937
Invesco Asset Management Limited and Invesco Fund Managers LimitedInvescofinancial servicesinvestor protection violation2014UK-FCA£18,643,000
Bank of Tokyo Mitsubishi UFJ LimitedMitsubishi UFJ Financial Groupfinancial servicesinternal controls deficiency2017UK-PRA£17,850,000
Aviva Investors Global Services LimitedAviva PLCfinancial servicesinvestor protection violation2015UK-FCA£17,607,000
Goldman Sachs InternationalGoldman Sachsfinancial servicesinvestor protection violation2010UK-FSA£17,500,000
JKL (Wakefield) Ltd tax violations2019UK-HMRC£16,432,386
Tesco Personal Finance plcTesco PLCretailingprivacy violation2018UK-FCA£16,400,000
The Prudential Assurance Company LimitedM&G PLCfinancial servicesinvestor protection violation2013UK-FSA£16,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2021UK-FRC£15,450,000
Tullett Prebon (Europe) LimitedTP ICAP PLCfinancial servicesinvestor protection violation2019UK-FCA£15,400,000
The Royal Bank of Scotland plc and National Westminster Bank PlcNatWest Group PLCfinancial servicesmortgage abuses2014UK-FCA£14,474,600
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2022UK-FRC£14,400,000
Prudential plcPrudential PLCfinancial servicesinvestor protection violation2013UK-FSA£14,000,000
Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd.NatWest Group PLCfinancial servicesinternal controls deficiency2014UK-PRA£14,000,000
Merrill Lynch InternationalBank of Americafinancial servicesinvestor protection violation2015UK-FCA£13,285,900
Citigroup Global Markets LimitedCitigroupfinancial servicesinvestor protection violation2022UK-FCA£12,553,800
Santander UK plcBanco Santanderfinancial servicesinvestor protection violation2014UK-FCA£12,377,800
Metro Bank plcMetro Bank PLCfinancial servicesbanking violation2020UK-CMA£11,400,000
Avacade Limited et al. investor protection violation2021UK-FCA£10,715,000
EE139 Realisations Ltd dba Earn Extra 139 Ltd tax violations2018UK-HMRC£10,645,837
HSBC Bank plcHSBCfinancial servicesinvestor protection violation2011UK-FSA£10,500,000
PriceWaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2018UK-FRC£10,000,000
Blackrock Investment Management (UK) LimitedBlackRockfinancial servicesinvestor protection violation2012UK-FSA£9,533,100
Aster and Young Limited. Formerly known as SCC Trading Limited and formerly known as Centric Management Services Limited. tax violations2022UK-HMRC£9,504,557
UBS AGUBSfinancial servicesinvestor protection violation2013UK-FSA£9,450,000
GAM International Management LtdGAM Holding AGfinancial servicesinvestor protection violation2022UK-FCA£9,103,523
Charles Schwab UK Ltd.Charles Schwab Corp.financial servicesinvestor protection violation2020UK-FCA£8,963,200
MUFG Securities EMEA plcMitsubishi UFJ Financial Groupfinancial servicesinternal controls deficiency2017UK-PRA£8,925,000
Coutts & CompanyNatWest Group PLCfinancial servicesanti-money-laundering deficiencies2012UK-FSA£8,750,000
Gibson Global Ltd tax violations2021UK-HMRC£8,552,226
Aviva Pension Trustees UK Limited and Aviva Wrap UK LimitedAviva PLCfinancial servicesinvestor protection violation2016UK-FCA£8,246,800
7722656 Canada Inc. investor protection violation2014UK-FCA£8,000,000
HSBC Bank plcHSBCfinancial servicesbanking violation2019UK-CMA£8,000,000
JLT Specialty LimitedMarsh & McLennanfinancial servicesanti-money-laundering deficiencies2022UK-FCA£7,881,700
Lloyds Banking GroupLloyds Banking Groupfinancial servicesinterest rate benchmark manipulation2014UK-PRA£7,760,000
Barclays Bank plcBarclaysfinancial servicesinvestor protection violation2011UK-FSA£7,700,000
Standard Bank PLCStandard Bank Group Limitedfinancial servicesanti-money-laundering deficiencies2014UK-FCA£7,640,400
Universal Payroll Services Ltd tax violations2018UK-HMRC£7,224,151
Aberdeen Asset Managers Limited and Aberdeen Fund Management LimitedAbrdn PLCfinancial servicesinvestor protection violation2013UK-FCA£7,192,500
Coutts & CompanyNatWest Group PLCfinancial servicesinvestor protection violation2011UK-FSA£6,300,000
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2016UK-FRC£6,275,000
Threadneedle Asset Management Limited investor protection violation2015UK-FCA£6,038,504
Sesame LimitedAviva PLCfinancial servicesinvestor protection violation2013UK-FCA£6,031,200
KPMG Audit PlcKPMGbusiness servicesaccounting fraud or deficiencies2019UK-FRC£6,000,000
Nationwide Building SocietyNationwide Building Societyfinancial servicesbanking violation2019UK-CMA£6,000,000
Credit Suisse (UK) LimitedCredit Suissefinancial servicesinvestor protection violation2011UK-FSA£5,950,000
Ghana International Bank Plc anti-money-laundering deficiencies2022UK-FCA£5,829,900
CMS Metals Ltd tax violations2017UK-HMRC£5,774,265
The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V.NatWest Group PLCfinancial servicesinvestor protection violation2013UK-FCA£5,620,300
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017UK-FRC£5,600,000
The Royal Bank of Scotland plc et al.NatWest Group PLCfinancial servicesanti-money-laundering deficiencies2010UK-FSA£5,600,000
Metro Bank plcMetro Bank PLCfinancial servicesinternal controls deficiency2021UK-PRA£5,376,000
I Hami Creative Company Limited tax violations2018UK-HMRC£5,219,425
Mineworld Limited investor protection violation2015UK-FCA£5,000,000
PwC LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017UK-FRC£5,000,000
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2014UK-FCA£4,718,800
Premier Metals (Leeds) Ltd tax violations2017UK-HMRC£4,685,825
Universal Project Services Ltd tax violations2018UK-HMRC£4,651,334
Asia Resource Minerals plc fka Bumi plc investor protection violation2015UK-FCA£4,651,200
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2019UK-FRC£4,550,000
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2019UK-FRC£4,525,000
KPMG Audit PlcKPMGbusiness servicesaccounting fraud or deficiencies2019UK-FRC£4,500,000
Skelwith Leisure (Raithwaite) Ltd tax violations2017UK-HMRC£4,493,791
Business Networks Management Ltd dba Zambezi Business Mangement Ltd tax violations2018UK-HMRC£4,351,395