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.
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Where?
by authority- Financial Conduct Authority (FCA) €429,017 100 % · 1 case
What for?
by topicWho?
by companyWhen?
per quarter, by date of decision| Period | Cases | Total |
|---|---|---|
| Q3 2023 | 0 | — |
| Q4 2023 | 0 | — |
| Q1 2024 | 0 | — |
| Q2 2024 | 0 | — |
| Q3 2024 | 0 | — |
| Q4 2024 | 0 | — |
| Q1 2025 | 0 | — |
| Q2 2025 | 0 | — |
| Q3 2025 | 0 | — |
| Q4 2025 | 0 | — |
| Q1 2026 | 1 | €429,017 |
| Q2 2026 | 0 | — |
| Q3 2026 | 0 | — |
1 case
7 Jan 2026 Richard Adam und Zafar Khan (ehem. Finanzvorstände der Carillion plc, in Liquidation)Carillion: former finance directors personally penalised for misleading announcements €429,017
The former finance directors Richard Adam and Zafar Khan acted recklessly and were involved in the construction group's breaches of MAR and the Listing Rules: the financial reporting on the UK construction business was inaccurate, and the board was not informed of serious problems. Fines: 232,800 GBP (Adam) and 138,900 GBP (Khan).
Finance directors are personally liable if they fail to escalate known problems to the board and allow embellished figures to be published.
- Authority / court
- Financial Conduct Authority (FCA)
- Area of law
- Capital markets and financial supervision · Market abuse and insider dealing
- Legal basis
- Art. 15 MAR (Marktmanipulation durch falsche Informationen); Listing Rule 1.3.3R; Listing Principle 1; Premium Listing Principle 2
- Action
- Fine
- Status of proceedings
- final
- Sector
- Construction and real estate
- Liability of senior managers
- Richard Adam (finance director until 2016): 232,800 GBP; Zafar Khan (finance director 2017): 138,900 GBP
Original amount 371,700 GBP, converted at the ECB reference rate of 7 Jan 2026.
- FCA fines former finance directors of Carillion plc Press release of an authority
- 2026 fines Enforcement database of an authority
- FCA Final Notice: Richard Adam (7 January 2026) Decision of an authority
- FCA Final Notice: Zafar Khan (7 January 2026) Decision of an authority
Checked against the official source on 25 Sep 2026 · Direct link