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 authority- Eidgenössische Finanzmarktaufsicht (FINMA) €4.01m 100 % · 1 case
What for?
by action- Disgorgement of profits €4.01m 100 % · 1 case
Who?
by sectorAll sectors
When?
per quarter, by date of decision| Period | Cases | Total |
|---|---|---|
| Q3 2023 | 0 | — |
| Q4 2023 | 0 | — |
| Q1 2024 | 1 | €4.01m |
| 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 | 0 | — |
| Q3 2026 | 0 | — |
1 case
25 Mar 2024 Banque Audi (Suisse) SAFINMA confiscates 3.9 million CHF in profits from Banque Audi (Suisse) €4.01m
The Swiss Financial Market Supervisory Authority (FINMA) found serious infringements of anti-money laundering rules in PEP relationships: insufficient clarification of the origin of assets, failure to report to the reporting office despite unexplained transaction purposes and a serious breach of the duty to provide information, because a critical internal audit report was not handed over. It confiscated 3.9 million CHF in profits, imposed a capital surcharge of 19 million CHF and a two-year ban on new PEP and high-risk relationships (date of the announcement used as decision date).
Withholding critical audit reports from the supervisory authority considerably aggravates a money laundering case.
PEP clarifications and openness towards the supervisory authority
- Authority / court
- Eidgenössische Finanzmarktaufsicht (FINMA)
- Area of law
- Money laundering and terrorist financing · Suspicious activity reports
- Legal basis
- Schweizer Geldwäschereirecht; Gewinneinziehung und Auskunftspflicht nach Finanzmarktaufsichtsrecht (laut FINMA)
- Action
- Disgorgement of profits
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Published
- 25 Mar 2024
Original amount 3,900,000 CHF, converted at the ECB reference rate of 25 Mar 2024.
- FINMA-Verfahren: Banque Audi (Suisse) SA hat gegen Geldwäschereiregeln verstossen Press release of an authority
Checked against the official source on 25 Sep 2026 · Direct link