Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe, North America and Asia-Pacific: 1,838 cases from 37 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 20 % · 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 10 % · 1 case
- Swedbank AB (publ) (mit New York Branch) €43.6m 6 % · 1 case
- BMO Capital Markets Corp. €39.9m 5 % · 1 case
- Barclays plc €35.9m 5 % · 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
- AustralianSuper (Trustee des Pensionsfonds AustralianSuper) €16.5m 2 % · 1 case
- 106 more€246.5m
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 | 1 | €76.1m |
| Q1 2026 | 0 | – |
| Q2 2026 | 0 | – |
| Q3 2026 | 0 | – |
| Q4 2026 | 0 | – |
1 case
19 Dec 2025 Australia and New Zealand Banking Group LimitedANZ: AUD 135m penalty over conduct in a government bond issue and false reporting €76.1m
In April 2023, as a bank managing a AUD 14 billion government bond issue for the Australian Office of Financial Management (AOFM), ANZ sold large volumes of bond futures around the time of pricing without informing the AOFM of its outstanding sales, and from 2021 to 2023 reported inflated secondary market turnover in government bonds to it. The Court imposed AUD 135 million: AUD 85 million for the bond issue (including AUD 80 million for unconscionable conduct) and AUD 50 million for the inaccurate turnover reporting, together with a compliance programme at its own cost. In three retail matters a further AUD 115 million was imposed on the same day in a separate judgment.
A bank managing an issue for a client must disclose its own hedging activity and must not report embellished figures to authorities.
Transparency and conflicts of interest in proprietary trading around client transactions; accuracy of reports to authorities
- Authority / court
- Federal Court of Australia (auf Antrag der Australian Securities and Investments Commission, ASIC)
- Area of law
- Capital markets and financial supervision · Market abuse and insider dealing
- Legal basis
- ss 12CB(1), 12DB(1)(a) ASIC Act 2001 (Cth); ss 912A(1)(a), (ca), (f), (5A), 912DAA, 1041H(1) Corporations Act 2001 (Cth)
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Employees
- 10,000 or more
- Mitigating circumstances
- Constructive engagement with ASIC and admissions at the earliest available opportunity.
- Published
- 19 Dec 2025
Original amount 135,000,000 AUD, converted at the ECB reference rate of 19 Dec 2025.
Checked against the official source on 3 Oct 2026 · Direct link