Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe and North America: 756 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.
Click a bar to drill down one level.
Where?
by regionAll jurisdictions
What for?
by topicWho?
by sectorAll sectors
- Healthcare €166.7m 33 % · 1 case
- Financial services and insurance €163.8m 32 % · 29 cases
- Energy and utilities €58.5m 12 % · 4 cases
- Transport, logistics and shipping €43.6m 9 % · 3 cases
- Food and agriculture €35.9m 7 % · 2 cases
- Automotive €24m 5 % · 2 cases
- Telecoms, IT and software €6.11m 1 % · 4 cases
- Media and online platforms €1.75m 0 % · 2 cases
- Other €1.73m 0 % · 2 cases
- Retail and e-commerce €1.72m 0 % · 1 case
- 4 more€3.49m
When?
per quarter, by date of decision| Period | Cases | Total |
|---|---|---|
| Q3 2023 | 1 | €23.9m |
| Q4 2023 | 1 | €280,000 |
| Q1 2024 | 3 | €2.4m |
| Q2 2024 | 0 | — |
| Q3 2024 | 3 | €44.8m |
| Q4 2024 | 8 | €240.1m |
| Q1 2025 | 5 | €130.2m |
| Q2 2025 | 2 | €3.47m |
| Q3 2025 | 6 | €1.03m |
| Q4 2025 | 6 | €618,385 |
| Q1 2026 | 8 | €52.5m |
| Q2 2026 | 12 | €7.36m |
| Q3 2026 | 4 | €752,878 |
59 cases
16 Sep 2026 AIFM Capital ABAIFM Capital: 2 million SEK for inadequate selection and oversight of fund managers €177,187
As a so-called fund hotel, the company had its funds managed by other firms, but examined these delegation agreements only insufficiently, did not take the related decisions properly and did not monitor the funds’ returns in relation to risk closely enough. The Swedish financial supervisory authority Finansinspektionen (FI) issued a remark and imposed 2 million SEK; no damage to investors was established.
Outsourcing tasks does not outsource responsibility: document the selection of service providers, the decisions taken and ongoing oversight.
- Authority / court
- Finansinspektionen (FI)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Schwedisches Fondsrecht – Regeln zur Delegation der Fondsverwaltung und deren Überwachung
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Mitigating circumstances
- No established damage to investors; remedial measures already taken during the investigation.
- Published
- 16 Sep 2026
Original amount 2,000,000 SEK, converted at the ECB reference rate of 16 Sep 2026.
- FI ger AIFM Capital en anmärkning och en sanktionsavgift (16.09.2026) Press release of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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28 Aug 2026 Insider trading in event contracts: White House teleprompter operator €148,191
Between December 2025 and February 2026, Gabriel Perez, a White House teleprompter operator, used confidential information from presidential speeches to trade event contracts on prediction markets. The U.S. Commodity Futures Trading Commission (CFTC) ordered disgorgement of 107,539.02 USD, a penalty of 65,000 USD and a three-year trading ban.
Insider policies should explicitly also cover bets and event contracts on prediction markets.
Confidentiality and trading bans when accessing non-public information, including for prediction markets
- Authority / court
- U.S. Commodity Futures Trading Commission (CFTC)
- Area of law
- Capital markets and financial supervision · Market abuse and insider dealing
- Legal basis
- Commodity Exchange Act und CFTC-Regulations (Missbrauch vertraulicher Informationen)
- Action
- Fine
- Status of proceedings
- final
- Sector
- Public sector
- Mitigating circumstances
- Substantial reduction for exemplary cooperation under the CFTC's new cooperation policy
Original amount 172,539.02 USD, converted at the ECB reference rate of 28 Aug 2026.
- CFTC Orders Gabriel Perez to Pay $172,000 for Insider Trading of Mention Market Event Contracts Press release of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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16 Jul 2026 TeamViewer SETeamViewer: cyberattack not disclosed as inside information without delay €240,000
Germany's Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht, BaFin) imposed a fine of 240,000 EUR on the software company because it had not disclosed the information about a cyberattack it had suffered as inside information without delay. The fine notice is final.
Put serious IT security incidents immediately before the ad hoc disclosure committee as well – the incident response process must take capital market disclosure into account.
Recognising security incidents as potential inside information and reporting them to the ad hoc disclosure committee
- Authority / court
- Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Art. 17 Abs. 1 UAbs. 1 MAR (EU) Nr. 596/2014
- Action
- Fine
- Status of proceedings
- final
- Sector
- Telecoms, IT and software
- Published
- 20 Jul 2026
- TeamViewer SE: BaFin setzt Geldbuße fest Decision of an authority
- Bekanntmachung der BaFin zur TeamViewer SE (Maßnahmenansicht mit Rechtskraftvermerk) Official register or notice
Checked against the official source on 25 Sep 2026 · Direct link
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10 Jul 2026 Brown Capital Management LLCBrown Capital Management: voting rights notifications not submitted on time €187,500
The Baltimore-based US asset manager had not submitted voting rights notifications to the issuer and BaFin in time; the deadline is four trading days after reaching a notifiable threshold. BaFin imposed a fine of 187,500 EUR; the notice is final.
Anyone investing in German issuers needs automated threshold monitoring with clear responsibility for the four-day deadline.
Threshold monitoring and notification deadlines for shareholdings
- Authority / court
- Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- § 33 Abs. 1 Satz 1 WpHG
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Published
- 22 Jul 2026
- Brown Capital Management LLC: BaFin setzt Geldbußen fest Decision of an authority
- Bekanntmachung der BaFin zur Brown Capital Management LLC (Maßnahmenansicht mit Rechtskraftvermerk) Official register or notice
Checked against the official source on 25 Sep 2026 · Direct link
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30 Jun 2026 Moody's Deutschland GmbHESMA fines Moody's Deutschland 2.1 million EUR €2.15m
The credit rating agency did not submit up-to-date rating information to the European Securities and Markets Authority (ESMA), did not provide complete historical performance data to the central repository and lacked adequate procedures and internal control mechanisms. ESMA found negligent infringements and imposed fines totalling 2,145,000 EUR.
Reporting obligations to the supervisory authority are data quality issues – without functioning internal controls, they become a risk of fines.
- Authority / court
- Europäische Wertpapier- und Marktaufsichtsbehörde (ESMA)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Verordnung (EG) Nr. 1060/2009 (CRA-Verordnung), Art. 24, 36a, Anhang III
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Culpability
- negligent
- Repeat case
- yes
- Decision of the Board of Supervisors – Moody's Deutschland GmbH (ESMA43-857238790-2075) Decision of an authority
- ESMA Sanctions and Enforcement Enforcement database of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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30 Jun 2026 „Paysera LT“, UABPaysera: daily fine for missing annual accounts adds up to 362,000 EUR €362,000
Because Paysera did not comply with the order to submit its 2024 annual financial statements by 30 September 2025, the Lietuvos bankas (Bank of Lithuania, financial supervisor) first imposed 20,000 EUR in November 2025 and then a daily fine of 1,000 EUR (rising to 2,000 and 3,000 EUR respectively). As the infringement was only remedied after 6 May 2026, the daily fine added up to 362,000 EUR. Source: archived copy of the press release.
Running daily fines make every delay expensive – supervisory orders need top-management priority.
- Authority / court
- Lietuvos bankas (Litauische Zentralbank, Finanzaufsicht)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Aufsichtsrechtliche Anordnung und Berichtspflichten nach litauischem E-Geld-Recht
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Repeat case
- yes
- Published
- 30 Jun 2026
- Lietuvos bankas, Pranešimas 2026-06-30 (Archivkopie web.archive.org von lb.lt) Press release of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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26 Jun 2026 Banque Degroof Petercam SABanque Degroof Petercam: 1 million EUR settlement over hidden costs in employee stock options €1m
In stock option plans for employees of client companies (2018–2023), the bank did not fully inform the beneficiaries about costs, had initially not recorded the conflicts of interest in this business and assessed clients’ knowledge only with a yes/no question. The Autorité des services et marchés financiers (Belgian Financial Services and Markets Authority, FSMA) accepted a settlement of 1 million EUR with publication by name and commitments on cost information.
Full cost transparency and a dedicated conflicts register also apply to ancillary business such as employee stock option plans.
- Authority / court
- Autorité des services et marchés financiers (FSMA)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Loi du 2 août 2002; Wohlverhaltensregeln (Loyalität, Kostentransparenz, bestmögliche Ausführung, Interessenkonflikte, Kundenkenntnis)
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Repeat case
- yes
- Mitigating circumstances
- Remediation of all deficiencies (appropriateness test, conflicts policy, cost disclosure, waiver of CVA/KVA discounts).
- Published
- 26 Jun 2026
- FSMA – Règlement transactionnel Banque Degroof Petercam (26.06.2026) Decision of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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23 Jun 2026 VARTA AGVARTA: late ad hoc announcement and missing half-yearly financial report €620,000
BaFin imposed fines on the battery manufacturer because it had not disclosed inside information without delay and had not published the half-yearly financial report for the 2024 financial year.
Ad hoc assessments and periodic disclosure require fixed responsibilities and deadline controls so that neither inside information nor mandatory reports are left pending.
- Authority / court
- Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Art. 17 Abs. 1 UAbs. 1 MAR; § 115 Abs. 1 Satz 1 WpHG
- Action
- Fine
- Status of proceedings
- final
- Sector
- Manufacturing and mechanical engineering
- Published
- 1 Jul 2026
- VARTA AG: BaFin setzt Geldbußen fest Decision of an authority
- Bekanntmachung der BaFin zur VARTA AG (Maßnahmenansicht mit Rechtskraftvermerk) Official register or notice
Checked against the official source on 25 Sep 2026 · Direct link
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8 Jun 2026 A. Tsokkos Hotels Public LimitedCyprus: 16,500 EUR against A. Tsokkos Hotels for late annual financial report €16,500
The listed hotel group did not publish its 2024 annual financial report on time; the Cyprus Securities and Exchange Commission (CySEC) imposed a total of 16,500 EUR. At the same meeting, eleven other issuers were fined between 1,500 and 17,000 EUR for the same reason; a fine of 13,500 EUR had already been imposed on the company under the same law in 2025.
Publication deadlines for financial reports are not negotiable – repeated delays lead to fines and, in extreme cases, to suspension of trading.
- Authority / court
- Cyprus Securities and Exchange Commission (CySEC)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Sec. 9(1), 37(2)(a) Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law 2007
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Other
- Repeat case
- yes
- Published
- 7 Aug 2026
- CySEC Board Decision – Fines under the Transparency Requirements Law (08.06.2026) Decision of an authority
- CySEC Board Decision – Fines under the Transparency Requirements Law (14.07.2025, Jahresbericht 2023) Decision of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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27 May 2026 Soltec Power Holdings, SASoltec: incorrect 2023 annual figures reported to the market €190,000
The manufacturer of solar tracking systems disseminated its results for 2023 by way of an "Otra Información Relevante" announcement containing inaccurate information. Spain's National Securities Market Commission (CNMV) imposed a fine of 190,000 EUR for a serious infringement; the company waived administrative appeals.
Voluntary market announcements on results are also subject to MAR – figures must be reconciled before publication.
- Authority / court
- Comisión Nacional del Mercado de Valores (CNMV)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Art. 297.1.e i. V. m. 297.2.d Ley 6/2023; Art. 17 i. V. m. Art. 7 MAR
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Energy and utilities
- Published
- 3 Aug 2026
- Resolución de 17 de julio de 2026 (BOE-A-2026-16923) – sanción a Soltec Power Holdings, SA Official register or notice
- CNMV – Registro público de sanciones Official register or notice
Checked against the official source on 25 Sep 2026 · Direct link
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25 May 2026 Robomarkets LtdCyprus: Robomarkets pays 100,000 EUR under settlement over CFD sales to retail clients €100,000
For the period June 2023 to June 2024, the Cyprus Securities and Exchange Commission (CySEC) examined the investment firm’s organisational requirements, client information, appropriateness assessment and compliance with the restrictions on marketing CFDs to retail investors. The proceedings were concluded with a settlement of 100,000 EUR, which the company has already paid.
When selling CFDs to retail clients, the appropriateness assessment and product intervention rules are central points of supervisory scrutiny.
Appropriateness assessment when selling complex products
- Authority / court
- Cyprus Securities and Exchange Commission (CySEC)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Art. 22(1), 25(1), 26(3) Gesetz über Wertpapierdienstleistungen 2017; Art. 42 VO (EU) 600/2014; CySEC-Richtlinie DI87-09; Art. 37(4) CySEC-Gesetz
- Action
- Other
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Published
- 24 Aug 2026
- CySEC Board Decision – Robomarkets Ltd – Settlement €100.000 Decision of an authority
- CySEC Board Decisions Enforcement database of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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13 May 2026 Oma Säästöpankki OyjOma Säästöpankki: 400,000 EUR over late and incomplete insider lists €400,000
The bank failed to draw up insider lists in good time for two pieces of inside information (termination of the core banking project with Cognizant in 2021, merger talks with Liedon Säästöpankki in 2022), did not update them and omitted mandatory information. The Finanssivalvonta (Finnish Financial Supervisory Authority, FIN-FSA) imposed a total fine of 400,000 EUR; the decision was not appealed and is final.
Insider lists must be created from the moment inside information exists – a fixed process with designated responsible persons prevents gaps.
Insider lists and handling of inside information
- Authority / court
- Finanssivalvonta (FIN-FSA)
- Area of law
- Capital markets and financial supervision · Market abuse and insider dealing
- Legal basis
- Verordnung (EU) Nr. 596/2014 (MAR) Art. 18 Abs. 1, 3 und 4; Durchführungsverordnung (EU) 2016/347
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Mitigating circumstances
- Measures to prevent recurrence and partial admission/cooperation had a mitigating effect.
- Published
- 15 May 2026
- Finanssivalvonta – Oma Säästöpankki Oyj:lle 400 000 euron yhteinen seuraamusmaksu (15.5.2026) Press release of an authority
- Finanssivalvonta – Toimituskirja FIVA/2026/227 vom 13.05.2026 (Oma Säästöpankki Oyj) Decision of an authority
- Finanssivalvonta – Hallinnolliset seuraamukset (Übersicht mit Rechtskraftvermerk) Enforcement database of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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8 May 2026 Stan Bharti und Neil Said (ehem. CEOs der Medivolve Inc.)Medivolve: former CEOs conceal their own share allocation – sanctions running into millions €1.71m
The former CEOs Stan Bharti and Neil Said failed to ensure that Medivolve disclosed that they had received millions of shares in the acquisition of Amino Therapeutics in April 2020; the financial disclosures omitted this related-party transaction. Under the approved settlement: Bharti 785,000 CAD penalty and 915,000 CAD disgorgement, Said 200,000 CAD penalty and 854,000 CAD disgorgement, in each case plus costs.
Transactions in which board members themselves receive shares must be disclosed – and those responsible are personally liable.
- Authority / court
- Capital Markets Tribunal (Ontario) auf Antrag der Ontario Securities Commission
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Securities Act (Ontario), RSO 1990, c S.5, s. 129.2
- Action
- Fine
- Status of proceedings
- final
- Liability of senior managers
- Stan Bharti (CEO/Director): 785,000 CAD penalty, 915,000 CAD disgorgement, 50,000 CAD costs, permanent officer-and-director bar; Neil Said (CEO): 200,000 CAD penalty, 854,000 CAD disgorgement, 46,000 CAD costs, 5-year officer-and-director bar
Original amount 2,754,000 CAD, converted at the ECB reference rate of 8 May 2026.
- Order: Ontario Securities Commission v Bharti Court decision
- Oral Reasons for Approval of Settlements: Ontario Securities Commission v Bharti Court decision
- Settlement Agreement: Ontario Securities Commission and Stan Bharti (10 April 2026) Decision of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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5 May 2026 P&V Assurances SCP&V Assurances: 150,000 EUR – distribution via a deregistered insurance intermediary €150,000
One of the insurer’s intermediaries was removed from the FSMA register in December 2023; owing to a human data entry error in the monitoring tool, P&V only noticed this after more than a month and concluded 34 contracts through him during that time. The Autorité des services et marchés financiers (Belgian Financial Services and Markets Authority, FSMA) accepted a settlement of 150,000 EUR; there had already been a settlement for the same amount in 2020.
Automated register checks are only as good as the underlying data maintenance – critical entries require a four-eyes principle.
Care in master data maintenance / register reconciliation
- Authority / court
- Autorité des services et marchés financiers (FSMA)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Loi du 4 avril 2014 relative aux assurances, Art. 259
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Repeat case
- yes
- Mitigating circumstances
- IT adjustments to prevent recurrence.
- Published
- 5 May 2026
- FSMA – Règlement transactionnel P&V Assurances SC (05.05.2026) Decision of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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15 Apr 2026 Liquidnet Canada Inc.Liquidnet Canada: confidential order data passed on to unauthorised persons €369,572
The operator of alternative trading systems passed on confidential order and trading information from its fixed income and equity platforms to unauthorised employees, lacked adequate safeguards and was initially not forthcoming with the regulator. Sanctions: administrative penalty of 600,000 CAD, 75,000 CAD in costs, a reprimand and an external review.
Technically restrict access rights to confidential client data and review them regularly – and make complete reports to the regulator.
Need-to-know principle and protection of confidential trading data
- Authority / court
- Capital Markets Tribunal (Ontario) auf Antrag der Ontario Securities Commission
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- National Instrument 21-101, s. 5.10(1)-(3); Securities Act (Ontario) ss. 127(1), 127.1
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Mitigating circumstances
- Cooperation, self-report, no prior record
Original amount 600,000 CAD, converted at the ECB reference rate of 15 Apr 2026.
- Oral Reasons for Approval of a Settlement: Ontario Securities Commission v Liquidnet Canada Inc Court decision
- Proceeding: Ontario Securities Commission v Liquidnet Canada Inc Official register or notice
Checked against the official source on 25 Sep 2026 · Direct link
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6 Apr 2026 Caroline J. Campbell (Beschäftigte der ImmunityBio, Inc.)ImmunityBio employee sells shares ahead of news of FDA delay €288,298
In May 2023, an employee of the biotech company sold 48,495 shares with knowledge of the non-public information that the FDA would delay approval of the medicine Anktiva; after the announcement, the share price fell by around 55 %. Under the settlement, she is paying 157,066.28 USD in disgorgement, 18,130.97 USD in interest and a civil penalty of 157,066.28 USD.
Trading bans and blackout periods must be known to all employees with access to approval or trial data, not just to the management board.
Insider trading ban for employees, handling of approval information
- Authority / court
- U.S. Securities and Exchange Commission (SEC)
- Area of law
- Capital markets and financial supervision · Market abuse and insider dealing
- Legal basis
- Section 10(b) Securities Exchange Act 1934, Rule 10b-5
- Action
- Fine
- Status of proceedings
- final
- Sector
- Chemicals and pharmaceuticals
Original amount 332,263.53 USD, converted at the ECB reference rate of 2 Apr 2026.
- SEC Files Settled Insider Trading Charges Against California Biotech Employee Decision of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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27 Mar 2026 Dinosaur Merchant Bank LimitedDinosaur Merchant Bank: 338,000 GBP – CFD trading without market abuse surveillance €389,760
After a new order management system was introduced in June 2024, CFD transactions with an underlying value of around 3.05 billion USD were not captured by automated trade surveillance. The bank identified the error in October 2024 but only remedied it in May 2025; the Financial Conduct Authority (FCA) imposed 338,000 GBP after a 30% cooperation discount.
With every system migration, check whether surveillance systems actually capture the new data flows.
- Authority / court
- Financial Conduct Authority (FCA)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Art. 16 Abs. 2 UK MAR; SYSC 6.1.1R; FCA Principle 3
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Mitigating circumstances
- Full cooperation (30% discount); CFD business discontinued in May 2025.
Original amount 338,000 GBP, converted at the ECB reference rate of 27 Mar 2026.
- FCA fines Dinosaur Merchant Bank Limited for market abuse surveillance failures (27.03.2026) Press release of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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25 Mar 2026 Familiam Asset Management OyFamiliam Asset Management: 70,000 EUR for 2,867 unreported securities transactions €70,000
Between September 2021 and August 2023, the asset manager failed to report a total of 2,867 transactions to the supervisory authority on time and in 2024 also submitted quarterly reports (FINREP) late. The Finanssivalvonta (Finnish Financial Supervisory Authority, FIN-FSA) imposed a total fine of 70,000 EUR; the admission had a mitigating effect.
Reporting obligations require deadline monitoring with a deputy arrangement – especially in small firms without their own reporting department.
Regulatory reporting
- Authority / court
- Finanssivalvonta (FIN-FSA)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- MiFIR (VO (EU) 600/2014) Art. 26 Abs. 1; IFR (VO (EU) 2019/2033) Art. 54 Abs. 1; FIN-FSA-Vorschriften 20/2013 (FINREP)
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Mitigating circumstances
- Admission of the failures / cooperation.
- Published
- 25 Mar 2026
- Finanssivalvonta – Familiam Asset Management Oy:lle 70 000 euron yhteinen seuraamusmaksu (25.3.2026) Press release of an authority
- Finanssivalvonta – Toimituskirja FIVA/2025/1838 vom 25.03.2026 (Familiam Asset Management Oy) Decision of an authority
- Finanssivalvonta – Hallinnolliset seuraamukset (Übersicht mit Rechtskraftvermerk) Enforcement database of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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4 Mar 2026 Schaeffler AGSchaeffler: deviation of quarterly figures from market expectations disclosed too late €180,000
The automotive supplier's business figures for the first quarter of 2024 deviated significantly from market expectations; this inside information was not disclosed without delay by means of an ad hoc announcement. BaFin imposed a fine.
Make a comparison of internal figures with the analyst consensus a fixed part of the quarterly process, so that significant deviations are immediately assessed for ad hoc disclosure obligations.
Recognising inside information in deviations from market expectations (controlling/IR)
- Authority / court
- Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Art. 17 Abs. 1 UAbs. 1 MAR
- Action
- Fine
- Status of proceedings
- final
- Sector
- Automotive
- Published
- 26 Mar 2026
- Schaeffler AG: BaFin setzt Geldbuße fest Decision of an authority
- Bekanntmachung der BaFin zur Schaeffler AG (Maßnahmenansicht mit Rechtskraftvermerk) Official register or notice
Checked against the official source on 25 Sep 2026 · Direct link
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3 Mar 2026 John Wood Group PLCJohn Wood Group: incorrect financial results published – almost 13 million GBP €14.9m
The energy services company published incorrect results for the 2022 and 2023 financial years and for the first half of 2024; accounting judgements were influenced by the desire to maintain previously reported figures, and systems and controls were inadequate. The UK Financial Conduct Authority (FCA) imposed a fine of 12,993,700 GBP (18,562,500 GBP without the 30 % discount).
Accounting judgements must not be geared to figures already communicated – this is a control failure, not a calculation error.
- Authority / court
- Financial Conduct Authority (FCA)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Listing Rule 1.3.3R; Listing Principle 1
- Action
- Fine
- Status of proceedings
- final
- Sector
- Energy and utilities
- Employees
- 10,000 or more
- Mitigating circumstances
- 30 % discount for early settlement and acceptance of the findings
- Published
- 4 Mar 2026
Original amount 12,993,700 GBP, converted at the ECB reference rate of 3 Mar 2026.
- FCA fines John Wood Group PLC for issuing misleading statements Press release of an authority
- 2026 fines Enforcement database of an authority
- FCA Final Notice: John Wood Group PLC (3 March 2026) Decision of an authority
Checked against the official source on 25 Sep 2026 · Direct link