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Violation Tracker Global: Current Parent Summary

Current Parent Company Name: Royal Bank of Canada
Ownership Structure: publicly traded (ticker symbol NYSE: RY)
Headquartered in: Canada
Major Industry: financial services
Specific Industry: banking
Penalty total since 2010 in U.S. dollars$294,923,323
Number of records: 40
Top 5 JurisdictionsPenalty Total (USD)Number of Records
United States$246,653,40628
Canada$42,849,9168
Brazil$3,363,9931
United Kingdom$1,540,3642
Hong Kong$515,6441
Top 5 Offense GroupsPenalty Total (USD)Number of Records
financial offenses$258,560,80933
consumer-protection-related offenses$31,273,7822
competition-related offenses$3,538,9932
employment-related offenses$1,540,3642
environment-related offenses$9,3751

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyCurrent Parent IndustryOffense CategoryYearJurisdictionPenalty Amount (USD)
City National Bankfinancial servicesbanking violation2024United States$65,000,000
RBC Capital Markets, LLCfinancial servicesinvestor protection violation2024United States$45,000,000
Royal Bank of Canadafinancial servicesinvestor protection violation2014United States$35,000,000
City National Bankfinancial servicesdiscriminatory practices (non-employment)2023United States$31,000,000
RBC Capital Markets LLCfinancial servicesinvestor protection violation2011United States$30,400,000
RBC Dominion Securities Inc. et al.financial servicesinvestor protection violation2017Canada$17,189,726
RBC Capital Markets, LLCfinancial servicesinvestor protection violation2019United States$11,715,395
Royal Bank of Canadafinancial servicessecurities violation2019Canada$10,791,125
Royal Bank of Canadafinancial servicesaccounting fraud or deficiencies2023United States$6,000,000
HSBC Investment Funds (Canada) Inc. and HSBC Private Wealth Services (Canada) Inc.financial servicesinvestor protection violation2016Canada$5,793,812
Royal Bank of Canadafinancial servicesanti-money-laundering deficiencies2023Canada$5,523,763
RBC Capital Markets, LLCfinancial servicesinvestor protection violation2019United States$5,000,000
RBC Capital Markets LLCfinancial servicesinvestor protection violation2020United States$3,889,007
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A.financial servicesinvestor protection violation2016United States$3,500,000
Royal Bank of Canadafinancial servicesanti-competitive practices2018Brazil$3,363,993
RBC Capital Markets, LLCfinancial servicesinvestor protection violation2014United States$2,800,000
RBC Capital Markets LLCfinancial servicesinvestor protection violation2016United States$2,500,000
Royal Bank of Canadafinancial servicesbanking violation2023Canada$1,604,737
Royal Bank of Canadafinancial serviceslabor standards violation2021United Kingdom$1,529,758
Royal Bank of Canadafinancial servicesinvestor protection violation2023Canada$1,441,442
RBC Capital Marketsfinancial servicesinvestor protection violation2015United States$1,434,000
RBC Capital Markets LLCfinancial servicesinvestor protection violation2021United States$863,326
Ferris, Baker Watts LLCfinancial servicesinvestor protection violation2010United States$690,000
RBC Investment Management (Asia) Limitedfinancial servicesinvestor protection violation2012Hong Kong$515,644
RBC Capital Markets, LLCfinancial servicesinvestor protection violation2015United States$500,000
RBC Capital Markets, LLCfinancial servicesinvestor protection violation2013United States$450,000
Royal Bank of Canadafinancial servicesconsumer protection violation2021Canada$273,782
RBC Capital Markets, LLCfinancial servicesinvestor protection violation2012United States$250,000
HSBC Bank Canadafinancial servicesbanking violation2023Canada$231,529
RBC Capital Markets, LLCfinancial servicesinvestor protection violation2012United States$186,439
Royal Bank of Canadafinancial servicesanti-competitive practices2013United States$175,000
RBC Capital Markets Corporationfinancial servicesinvestor protection violation2010United States$135,000
RBC Capital Markets Corp.financial servicesinvestor protection violation2010United States$51,724
RBC Capital Markets, LLCfinancial servicesinvestor protection violation2013United States$44,370
RBC Capital Markets, LLCfinancial servicesinvestor protection violation2013United States$33,520
RBC Capital Markets, LLCfinancial servicesinvestor protection violation2023United States$11,000
Royal Bank of Canadafinancial serviceslabor standards violation2019United Kingdom$10,606
RBC Capital Markets, LLCfinancial servicesinvestor protection violation2021United States$10,000
Royal Bank of Canada (USA)financial serviceswater pollution violation2010United States$9,375
City National Bankfinancial servicesbanking violation2010United States$5,250
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.