Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe and North America: 718 cases from 32 jurisdictions, each with an official source and checked against that source before publication. Filter by country, area of law and sector. Click a chart to drill down one level.
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Where?
by regionAll jurisdictions
What for?
by topicWho?
by company- The Toronto-Dominion Bank €113m 17 % · 1 case
- UBS Financial Services Inc. €108.4m 16 % · 1 case
- Xeltox Enterprises Ltd. (Cryptomus) €108.1m 16 % · 1 case
- Canaccord Genuity LLC €69.2m 10 % · 1 case
- Nationwide Building Society €50.4m 8 % · 1 case
- J.P. Morgan SE €45m 7 % · 1 case
- Block, Inc. €36.1m 5 % · 1 case
- Monzo Bank Limited €24.5m 4 % · 1 case
- Paxos Trust Company, LLC €22.8m 3 % · 1 case
- Coinbase Europe Limited €21.5m 3 % · 1 case
- 36 more€62.4m
When?
per quarter, by date of decision| Period | Cases | Total |
|---|---|---|
| Q3 2023 | 0 | — |
| Q4 2023 | 0 | — |
| Q1 2024 | 0 | — |
| Q2 2024 | 0 | — |
| Q3 2024 | 0 | — |
| Q4 2024 | 0 | — |
| Q1 2025 | 1 | €344,791 |
| Q2 2025 | 0 | — |
| Q3 2025 | 0 | — |
| Q4 2025 | 0 | — |
| Q1 2026 | 0 | — |
| Q2 2026 | 0 | — |
| Q3 2026 | 0 | — |
1 case
9 Jan 2025 Arian Financial LLPFCA: small broker Arian Financial fined over cum-ex money laundering risks €344,791
From January to September 2015, the broker had no effective systems against financial crime and was therefore exposed to the risk of facilitating fraudulent trading and money laundering in connection with cum-ex trades. Following proceedings before the Upper Tribunal, the UK Financial Conduct Authority (FCA) set the fine at £288,962.53 instead of the £744,745 originally intended.
Even small brokers must question unusually lucrative, circular trading patterns before executing them.
Recognising warning signs in unusual trading structures
- Authority / court
- Financial Conduct Authority (FCA)
- Area of law
- Money laundering and terrorist financing · Internal controls
- Legal basis
- FCA Principles 2 und 3 (PRIN 2, PRIN 3)
- Action
- Fine
- Status of proceedings
- reduced
- Sector
- Financial services and insurance
- Mitigating circumstances
- Reduction by the Upper Tribunal
- Published
- 10 Jan 2025
Original amount 288,962.53 GBP, converted at the ECB reference rate of 9 Jan 2025.
- FCA fines Arian Financial LLP for failings relating to cum-ex trading Press release of an authority
- 2025 fines | FCA Enforcement database of an authority
- Final Notice: Arian Financial LLP (09.01.2025) Decision of an authority
Checked against the official source on 25 Sep 2026 · Direct link