Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe, North America and Asia-Pacific: 1,833 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.
Click a bar to drill down one level.
Where?
by authority- Supreme Court of New South Wales (auf Antrag der Australian Securities and Investments Commission, ASIC) €21.5m 57 % · 1 case
- Federal Court of Australia (auf Antrag der Australian Securities and Investments Commission, ASIC) €14.8m 39 % · 2 cases
- Australian Securities and Investments Commission (ASIC) €1.7m 4 % · 2 cases
What for?
by action- Fine €38m 100 % · 5 cases
Who?
by sectorAll sectors
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 | €21.5m |
| Q2 2026 | 3 | €4.11m |
| Q3 2026 | 1 | €12.4m |
| Q4 2026 | 0 | – |
5 cases
3 Jul 2026 ASX LimitedASX: 20.5 million AUD for misleading announcement on CHESS replacement project €12.4m
The Federal Court of Australia, on application by the Australian Securities and Investments Commission (ASIC, Australia's corporate, markets and financial services regulator), imposed a penalty of 20.5 million AUD on the exchange operator because a market announcement of 10 February 2022 stated that the project to replace its CHESS clearing and settlement system was progressing well. About six weeks later ASX announced a likely delay and paused the project in November 2022; in June 2026 it admitted contraventions of ss 12DA and 12DB of the ASIC Act.
Progress updates on major projects must reflect the actual status, including known risks – and operators of critical market infrastructure are held to a particularly high standard.
Accuracy and balance of market announcements about ongoing major projects
- Authority / court
- Federal Court of Australia (auf Antrag der Australian Securities and Investments Commission, ASIC)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Australian Securities and Investments Commission Act 2001 (Cth) ss 12DA, 12DB(1)(a) und (e)
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Published
- 3 Jul 2026
Original amount 20,500,000 AUD, converted at the ECB reference rate of 3 Jul 2026.
Checked against the official source on 3 Oct 2026 · Direct link
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11 Jun 2026 Deutsche Bank AktiengesellschaftDeutsche Bank AG: AUD 2m penalty for inaccurate derivative trade reporting €1.21m
ASIC issued an infringement notice because on 208 business days between October 2024 and August 2025 Deutsche Bank had not accurately reported the “direction” fields for 20,483 outstanding and 244,091 terminated or matured OTC derivative transactions, mostly foreign exchange trades, to trade repositories. The bank allegedly paid AUD 2 million under the infringement notice; payment is not an admission of guilt.
Derivative reporting systems need plausibility checks on mandatory fields, otherwise individual errors add up to systemic breaches.
Data quality in regulatory transaction reporting
- Authority / court
- Australian Securities and Investments Commission (ASIC)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Rule 2.2.6 ASIC Derivative Transaction Rules (Reporting) 2024; reg 7.5A.104 Corporations Regulations 2001
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Employees
- 10,000 or more
- Mitigating circumstances
- Cooperation with ASIC and measures to prevent further reporting errors.
- Published
- 13 Jul 2026
Original amount 2,000,000 AUD, converted at the ECB reference rate of 11 Jun 2026.
- ASIC 26-149MR: Deutsche Bank pays $2 million penalty for systemic trade reporting failures Press release of an authority
- ASIC Infringement Notice an Deutsche Bank Aktiengesellschaft (DBK.0014.0001.0001), gegeben am 11. Juni 2026 Decision of an authority
- ASIC Infringement Notices Register Official register or notice
Checked against the official source on 3 Oct 2026 · Direct link
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28 Apr 2026 Canva Pty Ltd; Canva Operations Pty Limited; Canva Trading Pty Ltd; Fusion Books Pty LtdCanva group: AUD 792,000 in penalties for late annual financial reports €485,086
Four Australian companies of the Canva group did not lodge their financial reports for the 2024 financial year with ASIC by the due date of 30 April 2025; the consolidated report followed only on 27 March 2026. ASIC issued an infringement notice of allegedly AUD 198,000 to each company (AUD 792,000 in total); the notices were paid, which is not an admission of guilt.
Even fast-growing technology groups must monitor the reporting deadlines of every single group company.
Lodgement deadlines for the financial reports of all group companies
- Authority / court
- Australian Securities and Investments Commission (ASIC)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- s 319(1) Corporations Act 2001 (Cth); Bußgeldbescheide nach s 1317DAM
- Action
- Fine
- Status of proceedings
- final
- Sector
- Telecoms, IT and software
- Published
- 6 May 2026
Original amount 792,000 AUD, converted at the ECB reference rate of 28 Apr 2026.
- ASIC 26-090MR: Canva Group pays $792,000 in infringement notices for failing to lodge financial reports on time Press release of an authority
- ASIC Infringement Notice B00442525 an Canva Pty Ltd (28 April 2026) Decision of an authority
- ASIC Infringement Notice B00442527 an Fusion Books Pty Ltd (28 April 2026) Decision of an authority
- ASIC Infringement Notices Register Official register or notice
Checked against the official source on 3 Oct 2026 · Direct link
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9 Apr 2026 Electro Optic Systems Holdings LimitedElectro Optic Systems: 4 million AUD for late correction of revenue guidance €2.41m
The Federal Court of Australia, on application by the Australian Securities and Investments Commission (ASIC, Australia's corporate, markets and financial services regulator), imposed an allegedly agreed penalty of 4 million AUD on the listed manufacturer of defence, space and communications technology. By 25 July 2022 the company knew that its 2022 revenue was likely to fall materially short of its published guidance of at least 212.3 million AUD, but did not correct the guidance until 31 October 2022; the court found a continuing breach of the continuous disclosure obligation.
Once it becomes apparent that published guidance will be materially missed, the correction must be disclosed without delay.
Continuous disclosure: handling deviations from guidance and escalating them internally to those responsible for disclosure
- Authority / court
- Federal Court of Australia (auf Antrag der Australian Securities and Investments Commission, ASIC)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Corporations Act 2001 (Cth) s 674A(2) i. V. m. s 1317QA
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Defence and security
- Liability of senior managers
- Measures against individuals are not set out here.
- Published
- 9 Apr 2026
Original amount 4,000,000 AUD, converted at the ECB reference rate of 9 Apr 2026.
Checked against the official source on 3 Oct 2026 · Direct link
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13 Mar 2026 Macquarie Securities (Australia) LimitedMacquarie Securities: 35 million AUD for years of misreported short sales €21.5m
The Supreme Court of New South Wales, on application by the Australian Securities and Investments Commission (ASIC, Australia's corporate, markets and financial services regulator), imposed a penalty of 35 million AUD on the securities dealer because, between December 2009 and February 2024, inadequate systems, processes and controls led it to misreport at least 73 million short sales to the market operator and to omit required regulatory data from orders. The court also found inadequate risk management and misleading conduct, and ordered a compliance programme involving an independent expert.
Regulatory reporting processes need their own regularly tested controls, and individual errors that come to light should be investigated as a possible sign of wider system weaknesses.
Accuracy of regulatory reporting (short sale and order data) and escalation of identified reporting errors
- Authority / court
- Supreme Court of New South Wales (auf Antrag der Australian Securities and Investments Commission, ASIC)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Corporations Act 2001 (Cth) ss 798H(1)(b), 912A(1)(h), 1041H(1); ASIC Market Integrity Rules (Securities Markets) 2017; Geldbuße nach s 1317G(1)
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Employees
- 50 to 249
- Mitigating circumstances
- Early acceptance of the contraventions, sustained cooperation with ASIC and contrition; the errors were reported to ASIC once identified and promptly remediated; no previous court findings of similar conduct.
- Liability of senior managers
- According to the decision, the errors arose at an operational level; ASIC did not allege any involvement of senior management.
- Published
- 16 Mar 2026
Original amount 35,000,000 AUD, converted at the ECB reference rate of 13 Mar 2026.
Checked against the official source on 3 Oct 2026 · Direct link