Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe, North America and Asia-Pacific: 1,838 cases from 37 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- Auckland District Court (Anklage: Department of Internal Affairs) 1 case 33 % · €589,190
- Department of Internal Affairs (DIA) 1 case 33 % ·
- Strafgericht, in der Quelle nicht benannt (Anklage: Department of Internal Affairs) 1 case 33 % · €30,092
What for?
by topicWho?
by sectorAll sectors
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 | 1 | – |
| Q2 2025 | 1 | €589,190 |
| Q3 2025 | 0 | – |
| Q4 2025 | 0 | – |
| Q1 2026 | 0 | – |
| Q2 2026 | 1 | €30,092 |
| Q3 2026 | 0 | – |
| Q4 2026 | 0 | – |
3 cases
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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28 Apr 2025 Qian DuoDuo LimitedQian DuoDuo: 1,125,000 NZD – transfers of over 19 million NZD not reported €589,190
Between June 2018 and September 2019 the Auckland money remitter and foreign exchange provider (trading as Lidong Foreign Exchange) failed to report 197 transfers to China totalling more than 19.14 million NZD: 26 suspicious activities (4.72 million NZD) and 171 prescribed transactions (14.42 million NZD); it checked the source of funds of the two individuals through whom the transactions were conducted only on the basis of questionable documents. On 28 April 2025 the Auckland District Court imposed a fine of 1,125,000 NZD. The company has appealed the decision. The decision is not final.
Suspicious activity reports and prescribed transaction reports are subject to deadlines – failing to verify the source of funds robustly risks penalties running into millions.
Suspicious activity reporting and source-of-funds checks
- Authority / court
- Auckland District Court (Anklage: Department of Internal Affairs)
- Area of law
- Money laundering and terrorist financing · Suspicious activity reports
- Legal basis
- AML/CFT Act 2009, ss 48A(1), 97 (Meldung vorgeschriebener Transaktionen) und s 92(1)(b)(i) (Verdachtsmeldung)
- Action
- Fine
- Status of proceedings
- under appeal
- Sector
- Financial services and insurance
- Culpability
- intentional
- Liability of senior managers
- Measures against individuals are not set out here.
- Published
- 5 Jun 2025
Original amount 1,125,000 NZD, converted at the ECB reference rate of 28 Apr 2025.
Checked against the official source on 3 Oct 2026 · Direct link
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18 Mar 2025 NZForex LimitedNZForex: formal warning over 3,182 unreported transactions Reprimand or warning
The company disclosed to the DIA (Department of Internal Affairs, New Zealand's AML/CFT supervisor) that, because of a system error in its prescribed transaction reporting, 3,182 transactions not denominated in New Zealand dollars had not been reported to the Police Financial Intelligence Unit between November 2017 and February 2024. On 18 March 2025 the DIA issued a formal warning under the AML/CFT Act 2009 and, given the prompt voluntary disclosure, refrained from more serious action; NZForex must provide the final report of an independent audit and report on its remediation.
Reporting processes for prescribed transactions need regular reconciliation so that system errors do not go unnoticed for years; early self-reporting can substantially reduce the sanction.
Complete reporting of prescribed transactions to the FIU
- Authority / court
- Department of Internal Affairs (DIA)
- Area of law
- Money laundering and terrorist financing
- Legal basis
- Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (Meldung vorgeschriebener Transaktionen)
- Action
- Reprimand or warning
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Mitigating circumstances
- Prompt voluntary disclosure, admission of fault, fixing the system error, reporting all outstanding transactions and a voluntary independent audit.
- Published
- 18 Mar 2025
Checked against the official source on 3 Oct 2026 · Direct link