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.
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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 | 0 | — |
| Q1 2025 | 1 | €1.68m |
| Q2 2025 | 0 | — |
| Q3 2025 | 0 | — |
| Q4 2025 | 1 | €73,683 |
| Q1 2026 | 0 | — |
| Q2 2026 | 0 | — |
| Q3 2026 | 0 | — |
2 cases
24 Oct 2025 Jessica Tam (Handel in Optionen der Score Media and Gaming Inc.)Tip from the VP Finance: insider trading ahead of Score Media takeover €73,683
In 2021, Jessica Tam bought call options on the instructions of an acquaintance, the VP Finance of Score Media and Gaming, ahead of the announcement of the takeover by Penn National Gaming; the profit was around 311,000 USD, and the split was arranged via WhatsApp using code words and settled in cash. Under the settlement: 120,000 CAD disgorgement and a two-year trading ban.
Insider training must make clear that even trading on a tip from one's private circle is prohibited – and that code words and cash payments do not prevent detection.
Passing on inside information (tipping) in one's private circle
- Authority / court
- Capital Markets Tribunal (Ontario) auf Antrag der Ontario Securities Commission
- Area of law
- Capital markets and financial supervision · Market abuse and insider dealing
- Legal basis
- Securities Act (Ontario), s. 76(1) (Insiderhandel); Sanktionen nach s. 127(1)
- Action
- Disgorgement of profits
- Status of proceedings
- final
- Sector
- Media and online platforms
- Culpability
- intentional
- Mitigating circumstances
- Admission, implication of other participants and undertaking to testify as a witness
- Published
- 4 Nov 2025
Original amount 120,000 CAD, converted at the ECB reference rate of 24 Oct 2025.
- Reasons for Approval of a Settlement: Ontario Securities Commission v Tam Court decision
- Proceeding: Ontario Securities Commission v Tam Official register or notice
Checked against the official source on 25 Sep 2026 · Direct link
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10 Jan 2025 Vince McMahon (ehem. Executive Chairman und CEO der World Wrestling Entertainment Inc.)WWE founder McMahon conceals settlement payments from the board and auditors €1.68m
In 2019 and 2022, the former Executive Chairman and CEO Vince McMahon concluded settlements of 3 million and 7.5 million USD on behalf of WWE without informing the board, the legal department, the accounting function or the auditors; WWE had to restate its financial statements. McMahon is paying a civil penalty of 400,000 USD and reimbursing WWE 1,330,915.90 USD under SOX 304(a).
Payments and settlements that personally concern top management must never be concluded without involving the board and the finance function.
- Authority / court
- U.S. Securities and Exchange Commission (SEC)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Securities Exchange Act 1934 (Umgehung interner Kontrollen, irreführende Angaben gegenüber Prüfern); Sarbanes-Oxley Act Section 304(a)
- Action
- Fine
- Status of proceedings
- final
- Sector
- Media and online platforms
- Liability of senior managers
- Vince McMahon (former Executive Chairman and CEO): 400,000 USD penalty and reimbursement of 1,330,915.90 USD to WWE
Original amount 1,730,915.9 USD, converted at the ECB reference rate of 10 Jan 2025.
Checked against the official source on 25 Sep 2026 · Direct link