Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe, North America, Latin America, Asia-Pacific, Middle East and Africa: 2,033 cases from 44 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- TD Bank, N.A. und TD Bank USA, N.A. €1.19bn 49 % · 1 case
- Anonymised companies €132.6m 6 % · 30 cases
- The Toronto-Dominion Bank €113m 5 % · 1 case
- UBS Financial Services Inc. €108.4m 5 % · 1 case
- Xeltox Enterprises Ltd. (Cryptomus) €108.1m 4 % · 1 case
- Crédit Agricole Corporate and Investment Bank (Crédit Agricole CIB) €88.2m 4 % · 1 case
- Canaccord Genuity LLC €69.2m 3 % · 1 case
- Nationwide Building Society €50.4m 2 % · 1 case
- Wechselstube (anonymisiert) €48.4m 2 % · 1 case
- Barclays Bank Plc €45.4m 2 % · 1 case
- 124 more€454.6m
When?
per quarter, by date of decision| Period | Cases | Total |
|---|---|---|
| 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 | 1 | €527,691 |
| Q1 2026 | 0 | – |
| Q2 2026 | 0 | – |
| Q3 2026 | 0 | – |
| Q4 2026 | 0 | – |
1 case
13 Oct 2025 Sanlam Collective Investments (RF) (Pty) LtdSanlam Collective Investments: ZAR 10.6m for breaches of anti-money laundering duties €527,691
An inspection in March 2024 showed that the manager of collective investment schemes was not applying its risk management and compliance programme (RMCP) effectively, particularly when risk-rating clients, that the programme had substantive gaps, that some clients and their beneficial owners had not been adequately identified and verified, and that the required ongoing and enhanced due diligence was missing. Alongside a directive to remediate and a caution, a penalty of 10.6 million ZAR was imposed, of which 3.6 million ZAR is conditionally suspended for two years; earlier contraventions of other laws were taken into account, including an enforceable undertaking and a penalty under the Collective Investment Schemes Control Act (CISCA). The amount and the facts have not been confirmed against the primary source.
Large group companies are held to higher standards – a documented programme without risk rating in practice does not protect against substantial penalties.
Client risk rating and ongoing and enhanced due diligence
- Authority / court
- Financial Sector Conduct Authority (FSCA)
- Area of law
- Money laundering and terrorist financing · Customer due diligence
- Legal basis
- Sections 42(1), 42(2), 20A, 21, 21A, 21B, 21C, 21E und 21F–21H Financial Intelligence Centre Act 38 of 2001 (FIC Act)
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Repeat case
- yes
- Mitigating circumstances
- Remedial action taken to date; 3.6 million ZAR suspended for two years, provided the deficiencies are fully remedied and the obligations are complied with on a sustained basis.
- Published
- 13 Oct 2025
Original amount 10,600,000 ZAR, converted at the ECB reference rate of 13 Oct 2025.
Checked against the official source on 4 Oct 2026 · Direct link