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.

Whistleblower protection Chemicals and pharmaceuticals Clear all filters

1case from 1 jurisdiction

€210,202Total of monetary amounts

€210,202Largest single case: a US cleantech company

€210,202Median per case with an amount

Click a bar to drill down one level.

by amount by number of cases

Where?

by region

All jurisdictions

USA €210,202 100 % · 1 case

What for?

by topic

Retaliation against whistleblowers €210,202 100 % · 1 case

Who?

by company

Anonymised companies €210,202 100 % · 1 case

When?

per year, by date of decision

Trend
Period	Cases	Total
2023	1	€210,202
2024	0	–
2025	0	–
2026	0	–

1 case

Newest first Highest amounts

8 Sep 2023 a US cleantech companySEC: US cleantech firm pays 225,000 US dollars over award waivers USARetaliation against whistleblowersanonymised €210,202

From February 2020 to March 2023, the unlisted cleantech company (around 236 employees) had 22 departing employees waive awards for reports to authorities. After contact by the U.S. Securities and Exchange Commission (SEC), the company amended the agreements and informed those affected; the penalty amounted to 225,000 US dollars.

What organisations can take from it

Unlisted companies are also subject to the SEC's whistleblower protection rules.

Relevance to training and awareness

Whistleblower protection in contract templates (HR/Legal)

Authority / court: U.S. Securities and Exchange Commission
Area of law: Whistleblower protection · Retaliation against whistleblowers
Legal basis: Securities Exchange Act of 1934, Rule 21F-17(a)
Action: Fine
Status of proceedings: final
Sector: Chemicals and pharmaceuticals
Employees: 50 to 249
Mitigating circumstances: Revision of the separation agreements and information provided to the former employees affected
Published: 8 Sep 2023

Original amount 225,000 USD, converted at the ECB reference rate of 8 Sep 2023.

Sources

SEC, Administrative Proceedings (Übersicht) (Entscheidung 2023) Decision of an authority

Checked against the official source on 28 Sep 2026 · Version 4 · Company name anonymised since 8 Sep 2025 · Direct link

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How the radar is compiled

Official sources only

Every case is based on a decision, press release or database of an authority or a court. Press and law-firm reports count at most as additional references.

Four-eyes check

Whoever enters a case may not approve it. A second, independent check compares company, date, amount and area of law with the source. Only then is the case published.

Comparable amounts

Amounts are converted at the ECB reference rate on the day of the decision. Each case also shows the original amount.

Corrections on record

A correction is a new version that is checked again. Every change is logged. You can report errors directly on each case.

Case texts are translated from the German original. Where a translation is not yet available, the German text is shown and marked “(German original)”. Names of authorities, laws and companies are given as in the source (company names until they are anonymised).

Company names are anonymised two years after the decision in a case, in line with the practice of many supervisory authorities. The official sources remain linked.

The radar reports on published decisions and is not legal advice. Decisions that are not yet final are marked as such where the status is known.

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