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: 2,207 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?
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What for?
by topicWho?
by company- Anonymised companies €364.7m 92 % · 15 cases
- Platinum Gaming Limited €11.5m 3 % · 1 case
- Caesars Entertainment, Inc. / Desert Palace, LLC (Caesars Palace) €6.77m 2 % · 1 case
- Evolution Malta Holding Limited €5.57m 1 % · 1 case
- Spreadex Limited €2.38m 1 % · 1 case
- AG Communications Limited €1.43m 0 % · 1 case
- Greentube Alderney Limited €1.17m 0 % · 1 case
- Spooniker Ltd €914,453 0 % · 1 case
- Sahara Dunes Casino, LP (Lake Elsinore Hotel and Casino) €831,716 0 % · 1 case
- Saskatchewan Indian Gaming Authority €731,540 0 % · 1 case
- 19 more€2.52m
When?
per year, by date of decision| Period | Cases | Total |
|---|---|---|
| 2023 | 11 | €322.8m |
| 2024 | 6 | €42.8m |
| 2025 | 16 | €25.9m |
| 2026 | 10 | €6.98m |
43 cases
20 Aug 2026 QuinnBet (Gibraltar) LimitedQuinnBet: £415,986 over anti-money laundering and financial vulnerability check failings €485,256
The operator of quinnbet.com will pay £415,986 in lieu of a financial penalty to the Consolidated Fund (the UK Government's general account) under a settlement and contribute to the Commission's investigation costs. The settlement also includes a disgorgement of £193,118, which is not included in the amount shown. A compliance assessment found breaches of the anti-money laundering licence condition LC 12.1.1 paras. 2 and 3 (March 2023 to August 2025) and of the customer interaction requirements under SRCP 3.4.3; following an error during a platform migration, some of the required financial vulnerability checks under SRCP 3.4.4 were also not carried out between February and May 2025. It is the first enforcement action against the company.
Financial vulnerability checks are a licence requirement that must continue without gaps, including during technical changeovers.
Financial vulnerability checks and AML controls in online betting
- Authority / court
- Gambling Commission
- Area of law
- Money laundering and terrorist financing · Internal controls
- Legal basis
- s. 116 Gambling Act 2005; LC 12.1.1 Abs. 2 und 3, SRCP 3.4.3 und SRCP 3.4.4 Abs. 1 der Licence Conditions and Codes of Practice (LCCP)
- Action
- Fine
- Status of proceedings
- final
- Sector
- Other
- Repeat case
- no
- Mitigating circumstances
- No previous enforcement action, a swift action plan, full cooperation, early voluntary reporting of some of the failings, voluntary divestment of the funds gained from them and early acceptance of the failings.
- Published
- 20 Aug 2026
Original amount 415,986 GBP, converted at the ECB reference rate of 20 Aug 2026.
- Gambling Commission, Register of regulatory actions: QuinnBet (Gibraltar) Limited (Settlement 20.08.2026) Enforcement database of an authority
- Gambling Commission: QuinnBet (Gibraltar) Limited Public Statement Decision of an authority
- Gambling Commission: QuinnBet (Gibraltar) Limited to pay £609,104 for regulatory failures (20.08.2026) Press release of an authority
Checked against the official source on 3 Oct 2026 · Direct link
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11 Aug 2026 Panzer Norge ASPanzer Norge AS: NOK 100,000 for AML failures at an accounting firm €9,115
Finanstilsynet (Norwegian Financial Supervisory Authority) fined the accounting firm Panzer Norge AS, based in Alta, NOK 100,000 under the Anti-Money Laundering Act. The inspection found shortcomings in the firm-wide risk assessment and in customer due diligence, as well as further breaches in risk and quality management and in engagement agreements; the company, which had five employees, essentially did not dispute the breaches.
Small accounting firms are also subject to anti-money laundering obligations and need a documented risk assessment and demonstrable customer due diligence for every engagement.
Anti-money laundering obligations for accounting and advisory firms
- Authority / court
- Finanstilsynet
- Area of law
- Money laundering and terrorist financing · Customer due diligence
- Legal basis
- §§ 7, 8, 9, 12 Abs. 4, 13 Abs. 1, 3 und 4, 14, 24 und 49 hvitvaskingsloven
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Other
- Employees
- Under 50
- Culpability
- negligent
- Published
- 17 Sep 2026
Original amount 100,000 NOK, converted at the ECB reference rate of 11 Aug 2026.
- Finanstilsynet: Tilsynsrapport og vedtak – Panzer Norge AS (17.09.2026) Press release of an authority
- Finanstilsynet, Tilsynsrapport med vedtak – Panzer Norge AS, 24/17922, 11.08.2026 Decision of an authority
Checked against the official source on 28 Sep 2026 · Direct link
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24 Jul 2026 The New Brunswick Lotteries and Gaming CorporationFINTRAC: CAD 399,712.50 penalty on The New Brunswick Lotteries and Gaming Corporation for one violation of anti-money laundering obligations €249,415
According to FINTRAC, The New Brunswick Lotteries and Gaming Corporation is a reporting entity in the casino sector based in Fredericton, New Brunswick. Canada's anti-money laundering regulator FINTRAC imposed an administrative monetary penalty of CAD 399,712.50 on the company on 24 July 2026. According to FINTRAC's findings, made during a compliance examination, the company committed one violation of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and its regulations. As described by the regulator, the violation concerned suspicious transaction reporting. According to FINTRAC, the penalty has been paid in full and the case is closed. Source: FINTRAC (Financial Transactions and Reports Analysis Centre of Canada), "Administrative monetary penalty on the New Brunswick Lotteries and Gaming Corporation", published 3 September 2026, https://fintrac-canafe.canada.ca/pen/amps/pen-2026-09-03-2-eng; summarised in our own words; not an official version and not a reproduction of the original.
- Authority / court
- Financial Transactions and Reports Analysis Centre of Canada (FINTRAC)
- Area of law
- Money laundering and terrorist financing · Suspicious activity reports
- Legal basis
- PCMLTFA s. 7; Verwaltungsgeldbuße nach Teil 4.1 PCMLTFA
- Action
- Fine
- Status of proceedings
- final
- Sector
- Other
- Published
- 3 Sep 2026
Original amount 399,712.5 CAD, converted at the ECB reference rate of 24 Jul 2026.
- Administrative monetary penalty on the New Brunswick Lotteries and Gaming Corporation (03.09.2026) Decision of an authority
- FINTRAC – Public notice of administrative monetary penalties Enforcement database of an authority
Checked against the official source on 28 Sep 2026 · Version 3 · Direct link
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23 Jul 2026 Evolution Malta Holding LimitedEvolution: £4.75m because its own games ran on unlicensed sites accessible in GB €5.57m
The games supplier will pay £4,750,000 in lieu of a financial penalty under a regulatory settlement, contribute to the Commission's investigation costs and accept an additional licence condition requiring an independent audit within twelve months. Five genuine Evolution games were accessible at scale to consumers in Great Britain via six websites of two operators not licensed by the Gambling Commission; between April 2024 and January 2025, its risk assessment and its anti-money laundering policies and controls did not adequately address risks arising from business partners in particular (LC 12.1.1, LC 12.1.2). After the Commission notified it in December 2024, Evolution immediately and permanently blocked the games for users in Great Britain.
B2B suppliers must monitor where their products are actually offered and stop their use by unlicensed operators.
Control over the distribution of own products to unlicensed operators
- Authority / court
- Gambling Commission
- Area of law
- Money laundering and terrorist financing · Internal controls
- Legal basis
- s. 116 Gambling Act 2005; LC 12.1.1 Abs. 1–3 und LC 12.1.2 der Licence Conditions and Codes of Practice (LCCP); Reg. 18, 19(1)(a) und 28(1) Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
- Action
- Fine
- Status of proceedings
- final
- Sector
- Other
- Mitigating circumstances
- A swift action plan with progress updates, full cooperation with the investigation and early acceptance of the failings.
- Published
- 23 Jul 2026
Original amount 4,750,000 GBP, converted at the ECB reference rate of 23 Jul 2026.
- Gambling Commission, Register of regulatory actions: Evolution Malta Holding Limited (Settlement 23.07.2026) Enforcement database of an authority
- Gambling Commission: Evolution Malta Holding Limited Public Statement Decision of an authority
- Gambling Commission: Evolution Malta Holding Limited to pay £4.75m (23.07.2026) Press release of an authority
Checked against the official source on 3 Oct 2026 · Direct link
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23 Jul 2026 Nova Scotia Gaming CorporationFINTRAC: 231,826 CAD against Nova Scotia Gaming over missing suspicious transaction reports €144,584
The Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) imposed 231,826 CAD on the Halifax gaming corporation (casino sector) because it failed to file suspicious transaction reports on attempted transactions despite reasonable grounds for suspicion, did not keep its compliance policies up to date and approved by a senior officer, and did not assess the money laundering risk as required. The penalty was paid in full.
Even aborted or merely attempted transactions can be reportable – cashier staff must know this.
Suspicious transaction reports even for merely attempted transactions
- Authority / court
- Financial Transactions and Reports Analysis Centre of Canada (FINTRAC)
- Area of law
- Money laundering and terrorist financing · Suspicious activity reports
- Legal basis
- Proceeds of Crime (Money Laundering) and Terrorist Financing Act, Part 1, und zugehörige Verordnungen
- Action
- Fine
- Status of proceedings
- final
- Sector
- Other
- Published
- 3 Sep 2026
Original amount 231,826 CAD, converted at the ECB reference rate of 23 Jul 2026.
- FINTRAC imposes an administrative monetary penalty on Nova Scotia Gaming Corporation Press release of an authority
- Public notice of administrative monetary penalties Enforcement database of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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14 Jul 2026 Goldwin LtdMalta: 80,907 EUR against online casino Goldwin for missing customer risk assessment €80,907
The 2022 examination revealed that for more than two years the remote gaming operator had had no proper customer risk assessment for almost its entire player base; the assessments submitted had been prepared specifically for the examination. In addition, once players reached the deposit threshold of 2,000 EUR, it did not check in good time whether they were politically exposed persons. The Financial Intelligence Analysis Unit (FIAU) imposed 80,907 EUR; the fine was still open to appeal at the time of publication.
Supervisory authorities see through risk assessments prepared only for the examination – they must be applied in day-to-day business.
Risk-based customer assessment in gambling
- Authority / court
- Financial Intelligence Analysis Unit (FIAU)
- Area of law
- Money laundering and terrorist financing · Customer due diligence
- Legal basis
- Reg. 5(5)(a)(ii), 11(5), 21 PMLFTR; FIAU Implementing Procedures Part I und II (Remote Gaming)
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Other
- Published
- 16 Jul 2026
- Administrative Measure Publication Notice – Goldwin Ltd Decision of an authority
- Publication of AML/CFT Administrative Penalties and Measures – FIAU Enforcement database of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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29 May 2026 Atlantic Lottery Corporation Inc.FINTRAC: CAD 212,025 penalty on Atlantic Lottery Corporation Inc. for 3 violations of anti-money laundering obligations €131,906
According to FINTRAC, Atlantic Lottery Corporation Inc. is a reporting entity in the casino sector based in Moncton, New Brunswick. Canada's anti-money laundering regulator FINTRAC imposed an administrative monetary penalty of CAD 212,025 on the company on 29 May 2026. According to FINTRAC's findings, made during a compliance examination, the company committed 3 violations of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and its regulations. As described by the regulator, the violations concerned suspicious transaction reporting, written compliance policies and procedures and assessing and documenting money laundering and terrorist financing risks. According to FINTRAC, the penalty has been paid in full and the case is closed. Source: FINTRAC (Financial Transactions and Reports Analysis Centre of Canada), "Administrative monetary penalty on Atlantic Lottery Corporation Inc.", published 9 July 2026, https://fintrac-canafe.canada.ca/pen/amps/pen-2026-07-09-1-eng; summarised in our own words; not an official version and not a reproduction of the original.
- Authority / court
- Financial Transactions and Reports Analysis Centre of Canada (FINTRAC)
- Area of law
- Money laundering and terrorist financing · Suspicious activity reports
- Legal basis
- PCMLTFA s. 7, 9.6(1); PCMLTF Regulations 156(1)(b), 156(1)(c); Verwaltungsgeldbuße nach Teil 4.1 PCMLTFA
- Action
- Fine
- Status of proceedings
- final
- Sector
- Other
- Published
- 9 Jul 2026
Original amount 212,025 CAD, converted at the ECB reference rate of 29 May 2026.
- Administrative monetary penalty on Atlantic Lottery Corporation Inc. (09.07.2026) Decision of an authority
- FINTRAC – Public notice of administrative monetary penalties Enforcement database of an authority
Checked against the official source on 28 Sep 2026 · Version 3 · Direct link
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24 Apr 2026 Anwaltskanzlei aus Hamilton (anonymisiert)Hamilton law firm: 60,000 NZD fine for anti-money laundering breaches €30,092
Between March 2022 and March 2025 a Hamilton law firm repeatedly breached the AML/CFT Act: it lacked a proper risk assessment, an implemented anti-money laundering programme and adequate records. It also failed to respond, or responded only in part, to information notices from the Department of Internal Affairs (DIA, the AML/CFT supervisor for law firms), thereby obstructing its investigators. After the firm pleaded guilty, the court imposed a fine of 60,000 NZD, taking the firm's size and financial capacity into account.
Even small law firms must actually implement their risk assessment, AML programme and record keeping and answer supervisory information requests in full.
Anti-money laundering duties in law firms and cooperation with the supervisor
- Authority / court
- Strafgericht, in der Quelle nicht benannt (Anklage: Department of Internal Affairs)
- Area of law
- Money laundering and terrorist financing · Internal controls
- Legal basis
- Anti-Money Laundering and Countering Financing of Terrorism Act 2009
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Other
- Culpability
- intentional
- Liability of senior managers
- According to the Department of Internal Affairs, the firm's partners, as lawyers, also had professional obligations to uphold the law.
- Published
- 24 Apr 2026
Original amount 60,000 NZD, converted at the ECB reference rate of 24 Apr 2026.
- Department of Internal Affairs: Law firm fined for anti-money laundering breaches (24.04.2026) Press release of an authority
Checked against the official source on 3 Oct 2026 · Direct link
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23 Mar 2026 Stanleybet Malta LimitedMalta: 225,730 EUR against betting operator Stanleybet over lack of customer checks in betting shops €225,730
Malta's Financial Intelligence Analysis Unit (FIAU) imposed 225,730 EUR, a penalty payment of 2,000 EUR per day and a follow-up directive on the licensed gambling operator, which works through a network of independently operated betting shops in an EU member state. The company was unable to link customers' cumulative deposits across different shops and only checked customers from a single deposit of 2,000 EUR upwards, so the threshold could be circumvented. The company has appealed.
Thresholds must be aggregated per customer across all channels and branches – otherwise the system invites structuring.
Recognising structured deposits below the checking threshold
- Authority / court
- Financial Intelligence Analysis Unit (FIAU)
- Area of law
- Money laundering and terrorist financing · Customer due diligence
- Legal basis
- Regulation 21 PMLFTR; Verstöße gegen Regulations 5(5)(a)(ii), 7, 9(1) PMLFTR und FIAU Implementing Procedures
- Action
- Fine
- Status of proceedings
- under appeal
- Sector
- Other
- Published
- 16 Apr 2026
- Administrative Measure Publication Notice – Stanleybet Malta Limited Decision of an authority
- Administrative Measures – FIAU Enforcement database of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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2 Mar 2026 Northern Isga FoundationFINTRAC: CAD 91,162.50 penalty on Northern Isga Foundation for 4 violations of anti-money laundering obligations €57,009
According to FINTRAC, Northern Isga Foundation is a non-profit charitable organisation based in Glenevis, Alberta, that receives a portion of a casino's revenues and is therefore a reporting entity. Canada's anti-money laundering regulator FINTRAC imposed an administrative monetary penalty of CAD 91,162.50 on the foundation on 2 March 2026. According to FINTRAC's findings, made during a compliance examination, the foundation committed 4 violations of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and its regulations. As described by the regulator, the violations concerned written compliance policies and procedures, assessing and documenting money laundering and terrorist financing risks, the compliance training programme and the prescribed review of the compliance programme. According to FINTRAC, the foundation has appealed the decision to the Federal Court. Source: FINTRAC (Financial Transactions and Reports Analysis Centre of Canada), "Administrative monetary penalty on Northern Isga Foundation", published 26 March 2026, https://fintrac-canafe.canada.ca/pen/amps/pen-2026-03-26-eng; summarised in our own words; not an official version and not a reproduction of the original.
- Authority / court
- Financial Transactions and Reports Analysis Centre of Canada (FINTRAC)
- Area of law
- Money laundering and terrorist financing · Internal controls
- Legal basis
- PCMLTFA s. 9.6(1); PCMLTF Regulations 156(1)(b), 156(1)(c), 156(1)(d), 156(1)(e), 156(1)(f); Verwaltungsgeldbuße nach Teil 4.1 PCMLTFA
- Action
- Fine
- Status of proceedings
- under appeal
- Sector
- Other
- Published
- 26 Mar 2026
Original amount 91,162.5 CAD, converted at the ECB reference rate of 2 Mar 2026.
- Administrative monetary penalty on Northern Isga Foundation (26.03.2026) Decision of an authority
- FINTRAC – Public notice of administrative monetary penalties Enforcement database of an authority
Checked against the official source on 28 Sep 2026 · Version 3 · Direct link
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28 Nov 2025 Institute of Certified BookkeepersFCA: Public censure for Institute of Certified Bookkeepers over deficient AML supervision Reprimand or warning
The FCA, through its supervisor OPBAS, publicly censured the Institute of Certified Bookkeepers. The professional body is responsible for anti-money laundering supervision of more than 3,000 bookkeepers in the UK. The FCA found that between January 2022 and July 2023 it did not supervise its members effectively or on a risk basis; among other things it suspended inspections for more than nine months and did not keep adequate records of its supervision.
- Authority / court
- Financial Conduct Authority (FCA)
- Area of law
- Money laundering and terrorist financing
- Legal basis
- Regulation 16 Oversight of Professional Body AML and CTF Supervision Regulations 2017; Regulations 17 und 46 MLRs 2017
- Action
- Reprimand or warning
- Status of proceedings
- final
- Sector
- Other
- FCA Final Notice: Institute of Certified Bookkeepers (28 November 2025) Decision of an authority
Checked against the official source on 28 Sep 2026 · Version 2 · Direct link
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24 Nov 2025 FWS Group LtdADGM: allegedly 51,000 USD fine for business centre operator FWS Group over missing customer checks €44,179
The FSRA (Financial Services Regulatory Authority, the financial regulator of Abu Dhabi Global Market, ADGM) fined the operator of a business centre, registered as a company service provider, allegedly 51,000 USD for anti-money laundering failings between December 2022 and December 2023. The firm had not carried out a business risk assessment and could not show a risk assessment for any of its 104 customers (tenants), nor had it verified any of them, because its outsourced compliance provider treated only the external operator of the centre as a customer; in addition, after the money laundering reporting officer (MLRO) had been absent for a long period, a replacement was only appointed after about ten months and the regulator was not promptly informed. Without the 20% discount for early settlement the fine would have been 63,750 USD.
A firm that outsources operations and compliance remains itself responsible for due diligence on all of its own customers.
Who the customer is: due diligence duties when operations and compliance are outsourced
- Authority / court
- Financial Services Regulatory Authority (ADGM)
- Area of law
- Money laundering and terrorist financing · Customer due diligence
- Legal basis
- Section 232 FSMR 2015; AML Rules 4.1.1(1), 4.1.1(2)(a) und (d), 6.1.1, 7.1.1(1)(a) und (b), 7.1.2(1)(a), 8.3.1(1)(d), 8.3.2, 8.4.1(c), 12.1.1(1), 15.6.1(d)
- Action
- Fine
- Status of proceedings
- final
- Sector
- Other
- Repeat case
- no
- Mitigating circumstances
- No previous non-compliance, cooperation and a remediation programme; 20% discount for early settlement.
Original amount 51,000 USD, converted at the ECB reference rate of 24 Nov 2025.
- FSRA Final Notice an FWS Group Ltd vom 24. November 2025 Decision of an authority
- ADGM FSRA Regulatory Actions and Sanctions (Durchsetzungsliste) Enforcement database of an authority
Checked against the official source on 3 Oct 2026 · Direct link
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20 Nov 2025 Caesars Entertainment, Inc. / Desert Palace, LLC (Caesars Palace)Nevada: 7.8 million USD against Caesars over gambling by an illegal bookmaker €6.77m
On 13 November 2025, the Nevada Gaming Control Board (NGCB) filed a disciplinary complaint for unsuitable methods of operation in connection with an illegal bookmaker and at the same time concluded a settlement of 7.8 million USD with conditions attached to the gaming licences. The conditions relate primarily to improving the AML programme and to additional training and awareness-raising for employees; the Nevada Gaming Commission (NGC) adopted the settlement as its order on 20 November 2025 (Case No. 25-03).
Casino staff must recognise high-risk players and unexplained sources of funds – revenue interests must not override AML obligations.
Checking the source of gambling funds, recognising high-risk customers
Missing or inadequate training played a role in the decision.
- Authority / court
- Nevada Gaming Commission (NGC) auf Beschwerde des Nevada Gaming Control Board (NGCB)
- Area of law
- Money laundering and terrorist financing · Customer due diligence
- Legal basis
- Glücksspielrecht Nevada (unsuitable methods of operation)
- Action
- Fine
- Status of proceedings
- final
- Sector
- Other
- Employees
- 10,000 or more
- Mitigating circumstances
- Numerous remedial measures already implemented
- Published
- 13 Nov 2025
Original amount 7,800,000 USD, converted at the ECB reference rate of 20 Nov 2025.
- Nevada Gaming Control Board and Caesars Entertainment, Inc. Enter into Proposed Stipulation for Settlement Regarding Disciplinary Complaint Press release of an authority
- Nevada Gaming Commission – Disposition, November 2025 Agenda (20.11.2025) Decision of an authority
Checked against the official source on 27 Sep 2026 · Version 2 · Direct link
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22 Sep 2025 Platinum Gaming LimitedPlatinum Gaming (Unibet): £10m fine for AML and player protection failings €11.5m
The Gambling Commission imposed a financial penalty of £10,000,000, a warning and an additional licence condition requiring an external audit on the operator of unibet.co.uk and uk.bingo.com. Between January 2023 and May 2024, its money laundering risk assessment did not take account of accounts previously closed over money laundering or terrorist financing concerns, so blocked customers could open new accounts; the AML policy was unclear about which level of due diligence applied when, and customers showing clear signs of harm were not contacted. It is the second enforcement action against the company, following one in 2023.
Anyone closing accounts over money laundering concerns must technically prevent the same customers from returning with new accounts.
Recognising blocked customers and timely customer interaction where there are signs of harm
- Authority / court
- Gambling Commission
- Area of law
- Money laundering and terrorist financing · Internal controls
- Legal basis
- LC 12.1.1 Abs. 1–3 und LC 12.1.2 sowie SRCP 3.4.3 der Licence Conditions and Codes of Practice (LCCP); s. 117(1)(a) und (b) Gambling Act 2005
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Other
- Repeat case
- yes
- Mitigating circumstances
- The company cooperated throughout the investigation.
- Published
- 22 Oct 2025
Original amount 10,000,000 GBP, converted at the ECB reference rate of 22 Sep 2025.
- Gambling Commission, Public register: Platinum Gaming Limited – regulatory actions (Entscheidung 22.09.2025) Enforcement database of an authority
- Gambling Commission: £10m fine for online operator Platinum Gaming Limited (22.10.2025) Press release of an authority
Checked against the official source on 3 Oct 2026 · Direct link
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28 Aug 2025 Saskatchewan Indian Gaming AuthorityFINTRAC: CAD 1,175,000 penalty on Saskatchewan Indian Gaming Authority for 3 violations of anti-money laundering obligations €731,540
According to FINTRAC, Saskatchewan Indian Gaming Authority is a reporting entity in the casino sector. Canada's anti-money laundering regulator FINTRAC imposed an administrative monetary penalty of CAD 1,175,000 on the company on 28 August 2025. According to FINTRAC's findings, made during a compliance examination, the company committed 3 violations of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and its regulations. As described by the regulator, the violations concerned suspicious transaction reporting and written compliance policies and procedures. Specifically, according to FINTRAC, four suspicious transaction reports were missing, three reports filed contained no indicators of suspicion, and the regulator found shortcomings in patron risk rating in 41 of 100 instances reviewed. According to FINTRAC, the company has appealed the decision to the Federal Court. Source: FINTRAC (Financial Transactions and Reports Analysis Centre of Canada), "Administrative monetary penalty on Saskatchewan Indian Gaming Authority", published 12 September 2025, https://fintrac-canafe.canada.ca/pen/amps/pen-2025-09-12-eng; summarised in our own words; not an official version and not a reproduction of the original.
- Authority / court
- Financial Transactions and Reports Analysis Centre of Canada (FINTRAC)
- Area of law
- Money laundering and terrorist financing · Suspicious activity reports
- Legal basis
- PCMLTFA s. 7, 9(1), 9.6(1); PCMLTF Regulations 156(1)(b); Verwaltungsgeldbuße nach Teil 4.1 PCMLTFA
- Action
- Fine
- Status of proceedings
- under appeal
- Sector
- Other
- Published
- 12 Sep 2025
Original amount 1,175,000 CAD, converted at the ECB reference rate of 28 Aug 2025.
- Administrative monetary penalty on Saskatchewan Indian Gaming Authority (12.09.2025) Decision of an authority
- FINTRAC – Public notice of administrative monetary penalties Enforcement database of an authority
Checked against the official source on 28 Sep 2026 · Version 3 · Direct link
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26 Aug 2025 UHY James Chartered AccountantsADGM: allegedly 20,400 USD fine for audit firm UHY James over unresolved screening alerts €17,502
The FSRA (Financial Services Regulatory Authority, the financial regulator of Abu Dhabi Global Market, ADGM) fined the registered auditor in ADGM, a branch of a foreign company, allegedly 20,400 USD for anti-money laundering failings between February 2022 and February 2024. In seven of 28 customer files reviewed, 397 screening alerts relating to four customers remained unresolved after a change of screening software, positive matches were dismissed without adequate justification, media reports alleging possible evasion of non-UAE sanctions by one customer were missed, the business risk assessment contained no assessment of targeted financial sanctions risk, and the source of funds and wealth of politically exposed persons was not verified. Without the 20% discount for early settlement the fine would have been 25,500 USD.
Screening alerts must be resolved and closed with a documented rationale, especially after a system change.
Name and sanctions screening: resolving and documenting alerts
- Authority / court
- Financial Services Regulatory Authority (ADGM)
- Area of law
- Money laundering and terrorist financing · Internal controls
- Legal basis
- Section 232 FSMR 2015; AML Rules 4.1.1(1), 4.1.1(2)(a) und (d), 6.1.1, 7.1.1, 7.1.2(1)(a), 7.1.3, 8.3.1(1)(b), 8.3.2, 8.4.1(c), 8.6.1, 11.2.1(1); Art. 21 Cabinet Decision No. 74 of 2020
- Action
- Fine
- Status of proceedings
- final
- Sector
- Other
- Repeat case
- no
- Mitigating circumstances
- No previous breaches of the AML rules, cooperation and substantial remediation (15% reduction); 20% discount for early settlement; the failings concerned only the ADGM entity and no other entities of the UHY group.
Original amount 20,400 USD, converted at the ECB reference rate of 26 Aug 2025.
- FSRA Final Notice an UHY James Chartered Accountants vom 26. August 2025 Decision of an authority
- ADGM FSRA Regulatory Actions and Sanctions (Durchsetzungsliste) Enforcement database of an authority
Checked against the official source on 3 Oct 2026 · Direct link
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25 Jul 2025 DMCL Chartered Professional AccountantsFINTRAC: accountancy firm DMCL without compliance programme – 72,750 CAD €45,370
The Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) imposed 72,750 CAD on the auditing and accountancy firm with four offices in British Columbia: approved written compliance policies, a documented risk assessment and the prescribed two-yearly effectiveness review were all lacking. The penalty was paid.
Firms that handle money movements for clients are themselves obliged entities and need their own AML programme.
- Authority / court
- Financial Transactions and Reports Analysis Centre of Canada (FINTRAC)
- Area of law
- Money laundering and terrorist financing · Internal controls
- Legal basis
- Proceeds of Crime (Money Laundering) and Terrorist Financing Act, Part 1, und zugehörige Verordnungen
- Action
- Fine
- Status of proceedings
- final
- Sector
- Other
- Published
- 9 Oct 2025
Original amount 72,750 CAD, converted at the ECB reference rate of 25 Jul 2025.
- FINTRAC imposes an administrative monetary penalty on DMCL Chartered Professional Accountants Press release of an authority
- Public notice of administrative monetary penalties Enforcement database of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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17 Jul 2025 British Columbia Lottery CorporationFINTRAC: CAD 1,075,000 penalty on British Columbia Lottery Corporation for 3 violations of anti-money laundering obligations €674,531
According to FINTRAC, British Columbia Lottery Corporation is a reporting entity in the casino sector based in Kamloops, British Columbia. Canada's anti-money laundering regulator FINTRAC imposed an administrative monetary penalty of CAD 1,075,000 on the company on 17 July 2025. According to FINTRAC's findings, made during a compliance examination, the company committed 3 violations of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and its regulations. As described by the regulator, the violations concerned suspicious transaction reporting, written compliance policies and procedures and enhanced measures for high-risk situations. Specifically, according to FINTRAC, two suspicious transaction reports were missing; the corporation also failed to identify a patron as high risk despite the rate of play and volume of funds and did not apply enhanced due diligence. According to FINTRAC, the company has appealed the decision to the Federal Court. Source: FINTRAC (Financial Transactions and Reports Analysis Centre of Canada), "Administrative monetary penalty on British Columbia Lottery Corporation", published 28 August 2025, https://fintrac-canafe.canada.ca/pen/amps/pen-2025-08-28-eng; summarised in our own words; not an official version and not a reproduction of the original.
- Authority / court
- Financial Transactions and Reports Analysis Centre of Canada (FINTRAC)
- Area of law
- Money laundering and terrorist financing · Suspicious activity reports
- Legal basis
- PCMLTFA s. 7, 9.6(1), 9.6(3); PCMLTF Regulations 156(1)(b), 157; Verwaltungsgeldbuße nach Teil 4.1 PCMLTFA
- Action
- Fine
- Status of proceedings
- under appeal
- Sector
- Other
- Published
- 28 Aug 2025
Original amount 1,075,000 CAD, converted at the ECB reference rate of 17 Jul 2025.
- Administrative monetary penalty on British Columbia Lottery Corporation (28.08.2025) Decision of an authority
- FINTRAC – Public notice of administrative monetary penalties Enforcement database of an authority
Checked against the official source on 28 Sep 2026 · Version 3 · Direct link
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11 Jul 2025 Canadian National Exhibition AssociationFINTRAC: CAD 199,000 penalty on Canadian National Exhibition Association for 2 violations of anti-money laundering obligations €124,321
According to FINTRAC, Canadian National Exhibition Association is a reporting entity in the casino sector based in Toronto, Ontario. Canada's anti-money laundering regulator FINTRAC imposed an administrative monetary penalty of CAD 199,000 on the company on 11 July 2025. According to FINTRAC's findings, made during a compliance examination, the company committed 2 violations of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and its regulations. As described by the regulator, the violations concerned assessing and documenting money laundering and terrorist financing risks and the prescribed review of the compliance programme. According to FINTRAC, the company has appealed the decision to the Federal Court. Source: FINTRAC (Financial Transactions and Reports Analysis Centre of Canada), "Administrative monetary penalty on CNE Casino", published 4 September 2025, https://fintrac-canafe.canada.ca/pen/amps/pen-2025-09-04-eng; summarised in our own words; not an official version and not a reproduction of the original.
- Authority / court
- Financial Transactions and Reports Analysis Centre of Canada (FINTRAC)
- Area of law
- Money laundering and terrorist financing · Internal controls
- Legal basis
- PCMLTFA s. 9.6(1); PCMLTF Regulations 156(1)(c), 156(1)(f); Verwaltungsgeldbuße nach Teil 4.1 PCMLTFA
- Action
- Fine
- Status of proceedings
- under appeal
- Sector
- Other
- Published
- 4 Sep 2025
Original amount 199,000 CAD, converted at the ECB reference rate of 11 Jul 2025.
- Administrative monetary penalty on CNE Casino (04.09.2025) Decision of an authority
- FINTRAC – Public notice of administrative monetary penalties Enforcement database of an authority
Checked against the official source on 28 Sep 2026 · Version 3 · Direct link
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7 May 2025 Spreadex LimitedSpreadex: £2.02m fine for anti-money laundering and player protection breaches €2.38m
The Gambling Commission imposed a financial penalty of £2,022,000, a warning and an additional licence condition on the betting operator. Between September 2022 and November 2023 the company breached the anti-money laundering licence condition LC 12.1.1, a customer interaction requirement (SRCP 3.4.3 para. 9c) and a specific condition of its licence; it had also not sufficiently considered the AML guidance in OCP 2.1.1. The Commission had already announced a payment by Spreadex in August 2022.
Specific licence conditions from earlier cases must be demonstrably met; breaching them aggravates the consequences.
Complying with specific licence conditions imposed after earlier cases
- Authority / court
- Gambling Commission
- Area of law
- Money laundering and terrorist financing · Internal controls
- Legal basis
- LC 12.1.1 Abs. 1–3, SRCP 3.4.3 Abs. 9c, besondere Lizenzauflage und OCP 2.1.1 der Licence Conditions and Codes of Practice (LCCP); s. 117(1)(a) und (b) Gambling Act 2005
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Other
- Repeat case
- yes
- Mitigating circumstances
- The company cooperated throughout the investigation.
- Published
- 15 May 2025
Original amount 2,022,000 GBP, converted at the ECB reference rate of 7 May 2025.
- Gambling Commission, Register of regulatory actions: Spreadex Limited (Entscheidung 07.05.2025) Enforcement database of an authority
- Gambling Commission: £2m fine for online operator Spreadex Limited (15.05.2025) Press release of an authority
Checked against the official source on 3 Oct 2026 · Direct link