Violation Tracker Parent Company Summary

Parent Company Name: 
NatWest Group PLC
Ownership Structure: 
publicly traded (ticker symbol LSE: NWG)
Headquartered in: 
United Kingdom
Major Industry: 
financial services
Specific Industry: 
banking & securities
Penalty total since 2000: 
$13,477,129,000
Number of records: 
31
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$12,232,129,00026
competition-related offenses$1,245,000,0005
Top 5 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$11,713,800,00014
interest rate benchmark manipulation$850,000,0004
foreign exchange market manipulation$395,000,0001
banking violation$324,000,0002
tax violations$106,384,0002
Notes: 

Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Links: 

For an overview of this company's accountability track record, read its Corporate Rap Sheet here.

Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.


Individual Penalty Records:

Click on the company or penalty amount for more information on each case.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Primary Offense Type Yearsort icon Agency Penalty Amount
CCO Investment Services Corp. investor protection violation 2006 FINRA $850,000
CCO Investment Services Corp. investor protection violation 2007 NH-BSR $375,000
RBS Financial Products Inc. toxic securities abuses 2011 MA-AG $52,000,000
RBS Financial Products toxic securities abuses 2012 NV-AG $42,000,000
THE ROYAL BANK OF SCOTLAND GROUP PLC banking violation 2013 FED $50,000,000
RBS Securities Inc. toxic securities abuses 2013 SEC $153,700,000
Royal Bank of Scotland plc interest rate benchmark manipulation 2013 CFTC $325,000,000
Royal Bank of Scotland PLC economic sanction violation 2013 OFAC $33,000,000
Royal Bank of Scotland economic sanction violation 2013 NY-DFS $50,000,000
RBS PLC and RBS Securities Japan interest rate benchmark manipulation 2014 DOJ_ANTITRUST $150,000,000
RBS Securities Inc. toxic securities abuses 2014 FHFA $99,500,000
Royal Bank of Scotland plc interest rate benchmark manipulation 2014 CFTC $290,000,000
Royal Bank of Scotland Group plc investor protection violation 2014 SEC $120,000
ROYAL BANK OF SCOTLAND PLC banking violation 2015 FED $274,000,000
Royal Bank of Scotland plc foreign exchange market manipulation 2015 DOJ_CRIMINAL $395,000,000
Royal Bank of Scotland plc toxic securities abuses 2015 NCUA $129,600,000
Coutts & Co Ltd tax violations 2015 DOJ_TAX $78,484,000
RBS Securities Inc. toxic securities abuses 2016 VA-AG $10,000,000
RBS Securities, Inc. toxic securities abuses 2016 CT-AG $120,000,000
RBS Securities, Inc. investor protection violation 2016 FINRA $2,000,000
Royal Bank of Scotland plc interest rate benchmark manipulation 2017 CFTC $85,000,000
Royal Bank of Scotland PLC toxic securities abuses 2017 FHFA $5,500,000,000
RBS Securities Inc. toxic securities abuses 2017 USAO $44,000,000
Royal Bank of Scotland toxic securities abuses 2017 CA-AG $125,000,000
Royal Bank of Scotland Group plc toxic securities abuses 2018 DOJ_CIVIL $4,900,000,000
NatWest Markets Plc investor protection violation 2018 CFTC $750,000
Royal Bank of Scotland toxic securities abuses 2018 IL-AG $20,000,000
Royal Bank of Scotland toxic securities abuses 2018 NY-AG $500,000,000
NatWest Markets Plc investor protection violation 2019 CFTC $850,000
Coutts & Co Ltd. tax violations 2019 DOJ_TAX $27,900,000
RBS Financial Products, Inc. toxic securities abuses 2020 MD-AG $18,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)