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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Where?
by regionAll jurisdictions
What for?
by topicWho?
by company- Two Sigma Investments LP und Two Sigma Advisers LP €87.6m 53 % · 1 case
- BMO Capital Markets Corp. €39.9m 24 % · 1 case
- Macquarie Bank Limited, London Branch €15.6m 10 % · 1 case
- Leonteq AG (Finanzgruppe Leonteq) €9.98m 6 % · 1 case
- Scope Ratings GmbH €2.2m 1 % · 1 case
- Moody's Deutschland GmbH €2.15m 1 % · 1 case
- REGIS-TR S.A. €1.37m 1 % · 1 case
- Banque Degroof Petercam SA €1m 1 % · 1 case
- „Paysera LT“, UAB €762,000 0 % · 2 cases
- Banus Port Vagyonkezelő Zrt. €608,080 0 % · 1 case
- 18 more€2.68m
When?
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 | 0 | — |
| Q2 2026 | 1 | €369,572 |
| Q3 2026 | 0 | — |
1 case
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