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.

Capital markets and financial supervision Financial services and insurance Moody's Deutschland GmbH Clear all filters

1case from 1 jurisdiction

€2.15mTotal of monetary amounts

€2.15mLargest single case: Moody's Deutschland GmbH

€2.15mMedian per case with an amount

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Where?

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EU €2.15m 100 % · 1 case

What for?

by topic

Organisational requirements €2.15m 100 % · 1 case

Who?

by company

When?

per quarter, by date of decision

Trend
Period	Cases	Total
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Q2 2026	1	€2.15m
Q3 2026	0	—

1 case

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30 Jun 2026 Moody's Deutschland GmbHESMA fines Moody's Deutschland 2.1 million EUR EU levelOrganisational requirements €2.15m

The credit rating agency did not submit up-to-date rating information to the European Securities and Markets Authority (ESMA), did not provide complete historical performance data to the central repository and lacked adequate procedures and internal control mechanisms. ESMA found negligent infringements and imposed fines totalling 2,145,000 EUR.

What organisations can take from it

Reporting obligations to the supervisory authority are data quality issues – without functioning internal controls, they become a risk of fines.

Authority / court: Europäische Wertpapier- und Marktaufsichtsbehörde (ESMA)
Area of law: Capital markets and financial supervision · Organisational requirements
Legal basis: Verordnung (EG) Nr. 1060/2009 (CRA-Verordnung), Art. 24, 36a, Anhang III
Action: Fine
Status of proceedings: unknown
Sector: Financial services and insurance
Culpability: negligent
Repeat case: yes

Sources

Decision of the Board of Supervisors – Moody's Deutschland GmbH (ESMA43-857238790-2075) Decision of an authority
ESMA Sanctions and Enforcement Enforcement database of an authority

Checked against the official source on 25 Sep 2026 · Direct link

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How the radar is compiled

Official sources only

Every case is based on a decision, press release or database of an authority or a court. Press and law-firm reports count at most as additional references.

Four-eyes check

Whoever enters a case may not approve it. A second, independent check compares company, date, amount and area of law with the source. Only then is the case published.

Comparable amounts

Amounts are converted at the ECB reference rate on the day of the decision. Each case also shows the original amount.

Corrections on record

A correction is a new version that is checked again. Every change is logged. You can report errors directly on each case.

Case texts are translated from the German original. Where a translation is not yet available, the German text is shown and marked “(German original)”. Names of authorities, laws and companies are given as in the source.

The radar reports on published decisions and is not legal advice. Decisions that are not yet final are marked as such where the status is known.

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