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 | 0 | — |
| Q2 2025 | 0 | — |
| Q3 2025 | 0 | — |
| Q4 2025 | 0 | — |
| Q1 2026 | 0 | — |
| Q2 2026 | 1 | — |
| Q3 2026 | 0 | — |
1 case
19 Jun 2026 CACEIS Bank (UK Branch)FCA: public censure for CACEIS UK over deficient checks on a custody client Reprimand or warning
The UK Financial Conduct Authority (FCA) issued a public censure because the London branch opened and operated accounts for the wealth manager WealthTek, although its own register searches showed that it lacked permissions to hold client assets, and overlooked a restriction noted in the register; 16 monitoring alerts were not worked through over two years, and more than £314 million flowed through the accounts. In view of cooperation and a voluntary payment of £31.7 million to WealthTek clients, the FCA refrained from imposing a fine (otherwise £23.1 million after discount).
Anyone who notices a discrepancy in the register must clarify and document it before accounts are activated.
Register checks and follow-up on identified KYC gaps
- Authority / court
- Financial Conduct Authority (FCA)
- Area of law
- Money laundering and terrorist financing · Customer due diligence
- Legal basis
- Section 205 FSMA (Public Censure) wegen Verstoßes gegen FCA Principle 2; Maßstab u. a. SYSC 6.1.1R, 6.3.1R, 6.3.3R und Regulations 18, 27, 28 MLR 2017
- Action
- Reprimand or warning
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Mitigating circumstances
- Cooperation, acknowledgement of the deficiencies and a voluntary payment of £31,714,068 to those harmed
- Published
- 25 Jun 2026
- Final Notice 2026: CACEIS Bank (UK Branch) Decision of an authority
Checked against the official source on 25 Sep 2026 · Direct link