Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe, North America, Latin America, Asia-Pacific and Middle East: 1,929 cases from 40 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 regionAll jurisdictions
What for?
by topicWho?
by company- Anonymised companies €155m 19 % · 22 cases
- Two Sigma Investments LP und Two Sigma Advisers LP €87.6m 11 % · 1 case
- Australia and New Zealand Banking Group Limited €76.1m 9 % · 1 case
- Swedbank AB (publ) (mit New York Branch) €43.6m 5 % · 1 case
- Florim Consultoria Ltda. (ehem. Silverado Gestão e Investimentos), Santander Caceis Brasil DTVM S.A., Gradual CCTVM S.A. – Massa Falida u. a. (5 Unternehmen) €41.2m 5 % · 1 case
- BMO Capital Markets Corp. €39.9m 5 % · 1 case
- Barclays plc €35.9m 4 % · 1 case
- Deutsche Bank AG €23.1m 3 % · 1 case
- Macquarie Securities (Australia) Limited €21.5m 3 % · 1 case
- HSBC Bank Australia Limited €21.4m 3 % · 1 case
- 126 more€287.6m
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 | 0 | – |
| Q2 2025 | 0 | – |
| Q3 2025 | 0 | – |
| Q4 2025 | 0 | – |
| Q1 2026 | 1 | €425,676 |
| Q2 2026 | 0 | – |
| Q3 2026 | 0 | – |
| Q4 2026 | 0 | – |
1 case
2 Feb 2026 Ark Capital Management (Dubai) LimitedDFSA: allegedly USD 504,000 on Ark Capital Management over market abuse controls €425,676
The investment firm did not review alerts from its surveillance system adequately or promptly, so at least ten suspicious trading instances were not reported or reported late; it also failed to notify an agreed, potentially staged change in control. After a 30% settlement discount the DFSA allegedly imposed USD 504,000 (otherwise USD 720,000).
A surveillance system only helps if its alerts are reviewed promptly – and a staged acquisition of shares must still be notified.
Consistently working through trade surveillance alerts
- Authority / court
- Dubai Financial Services Authority (DFSA)
- Area of law
- Capital markets and financial supervision · Market abuse and insider dealing
- Legal basis
- Art. 90(2) Regulatory Law 2004 (DIFC); GEN Rules 11.10.12A, 5.3.20(a), 11.8.11(2), 4.2.3, 4.2.10 DFSA Rulebook
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Mitigating circumstances
- Settlement (30% discount); USD 720,000 without settlement.
- Published
- 6 Feb 2026
Original amount 504,000 USD, converted at the ECB reference rate of 2 Feb 2026.
- DFSA: Decision Notice an Ark Capital Management (Dubai) Limited vom 02.02.2026 (PDF, Dateispeicher der DFSA-Website) Decision of an authority
- DFSA: The DFSA fines Ark Capital Management (Dubai) Limited USD 504,000 for market abuse systems and change of control reporting failings (Media Release, 06.02.2026, DFSA Rulebook) Press release of an authority
Checked against the official source on 3 Oct 2026 · Direct link