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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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 | 1 | €9.98m |
| Q1 2025 | 0 | — |
| Q2 2025 | 0 | — |
| Q3 2025 | 0 | — |
| Q4 2025 | 0 | — |
| Q1 2026 | 0 | — |
| Q2 2026 | 0 | — |
| Q3 2026 | 1 | €187,500 |
2 cases
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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12 Dec 2024 Leonteq AG (Finanzgruppe Leonteq)Leonteq: distribution via unregulated partners – confiscation of 9.3 million CHF in profits €9.98m
The Swiss Financial Market Supervisory Authority (FINMA) found serious breaches of risk management obligations and of the requirement to guarantee irreproachable business conduct: the financial group monitored its distribution chain inadequately and in some cases worked with dubious, unregulated distributors that sold products in countries not intended for them without authorisation. FINMA ordered governance requirements, the termination of these relationships, the appointment of an audit agent and the confiscation of 9.3 million CHF in profits; the ruling was not yet final at the time of publication.
Anyone who distributes via third parties is liable for their regulatory status – sales partners require due diligence just like customers.
- Authority / court
- Eidgenössische Finanzmarktaufsicht (FINMA)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Finanzmarktaufsichtsgesetz (FINMAG)
- Action
- Disgorgement of profits
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Mitigating circumstances
- Good cooperation in the proceedings; Leonteq had already strengthened compliance and distribution controls of its own accord and terminated relationships with suspicious distributors
Original amount 9,300,000 CHF, converted at the ECB reference rate of 12 Dec 2024.
- FINMA schliesst Verfahren gegen Leonteq ab Press release of an authority
Checked against the official source on 25 Sep 2026 · Direct link