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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Where?
by authority- Financial Conduct Authority (FCA) €31.8m 100 % · 6 cases
What for?
by topicWho?
by sectorAll sectors
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 | 2 | €15.8m |
| Q1 2025 | 0 | — |
| Q2 2025 | 0 | — |
| Q3 2025 | 0 | — |
| Q4 2025 | 1 | €353,702 |
| Q1 2026 | 3 | €15.7m |
| Q2 2026 | 0 | — |
| Q3 2026 | 0 | — |
6 cases
27 Mar 2026 Dinosaur Merchant Bank LimitedDinosaur Merchant Bank: 338,000 GBP – CFD trading without market abuse surveillance €389,760
After a new order management system was introduced in June 2024, CFD transactions with an underlying value of around 3.05 billion USD were not captured by automated trade surveillance. The bank identified the error in October 2024 but only remedied it in May 2025; the Financial Conduct Authority (FCA) imposed 338,000 GBP after a 30% cooperation discount.
With every system migration, check whether surveillance systems actually capture the new data flows.
- Authority / court
- Financial Conduct Authority (FCA)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Art. 16 Abs. 2 UK MAR; SYSC 6.1.1R; FCA Principle 3
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Mitigating circumstances
- Full cooperation (30% discount); CFD business discontinued in May 2025.
Original amount 338,000 GBP, converted at the ECB reference rate of 27 Mar 2026.
- FCA fines Dinosaur Merchant Bank Limited for market abuse surveillance failures (27.03.2026) Press release of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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3 Mar 2026 John Wood Group PLCJohn Wood Group: incorrect financial results published – almost 13 million GBP €14.9m
The energy services company published incorrect results for the 2022 and 2023 financial years and for the first half of 2024; accounting judgements were influenced by the desire to maintain previously reported figures, and systems and controls were inadequate. The UK Financial Conduct Authority (FCA) imposed a fine of 12,993,700 GBP (18,562,500 GBP without the 30 % discount).
Accounting judgements must not be geared to figures already communicated – this is a control failure, not a calculation error.
- Authority / court
- Financial Conduct Authority (FCA)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Listing Rule 1.3.3R; Listing Principle 1
- Action
- Fine
- Status of proceedings
- final
- Sector
- Energy and utilities
- Employees
- 10,000 or more
- Mitigating circumstances
- 30 % discount for early settlement and acceptance of the findings
- Published
- 4 Mar 2026
Original amount 12,993,700 GBP, converted at the ECB reference rate of 3 Mar 2026.
- FCA fines John Wood Group PLC for issuing misleading statements Press release of an authority
- 2026 fines Enforcement database of an authority
- FCA Final Notice: John Wood Group PLC (3 March 2026) Decision of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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7 Jan 2026 Richard Adam und Zafar Khan (ehem. Finanzvorstände der Carillion plc, in Liquidation)Carillion: former finance directors personally penalised for misleading announcements €429,017
The former finance directors Richard Adam and Zafar Khan acted recklessly and were involved in the construction group's breaches of MAR and the Listing Rules: the financial reporting on the UK construction business was inaccurate, and the board was not informed of serious problems. Fines: 232,800 GBP (Adam) and 138,900 GBP (Khan).
Finance directors are personally liable if they fail to escalate known problems to the board and allow embellished figures to be published.
- Authority / court
- Financial Conduct Authority (FCA)
- Area of law
- Capital markets and financial supervision · Market abuse and insider dealing
- Legal basis
- Art. 15 MAR (Marktmanipulation durch falsche Informationen); Listing Rule 1.3.3R; Listing Principle 1; Premium Listing Principle 2
- Action
- Fine
- Status of proceedings
- final
- Sector
- Construction and real estate
- Liability of senior managers
- Richard Adam (finance director until 2016): 232,800 GBP; Zafar Khan (finance director 2017): 138,900 GBP
Original amount 371,700 GBP, converted at the ECB reference rate of 7 Jan 2026.
- FCA fines former finance directors of Carillion plc Press release of an authority
- 2026 fines Enforcement database of an authority
- FCA Final Notice: Richard Adam (7 January 2026) Decision of an authority
- FCA Final Notice: Zafar Khan (7 January 2026) Decision of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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19 Dec 2025 Russel Gerrity (Berater; Handel in Chariot Oil & Gas und Eco (Atlantic) Oil and Gas)Oil and gas consultant trades on knowledge of drilling results – insider dealing €353,702
Between 2018 and 2022, a consultant with access to confidential drilling results bought shares in Chariot Oil & Gas and Eco (Atlantic) Oil and Gas ahead of positive announcements and on one occasion sold ahead of a negative one. The FCA imposed 309,843 GBP (128,765 GBP disgorgement, 181,078 GBP penalty); the investigation was triggered by suspicious transaction and order reports (STORs) from a financial firm.
Put external consultants with access to project or exploration data on the insider list and instruct them on trading bans.
Insider dealing ban for external consultants with project access
- Authority / court
- Financial Conduct Authority (FCA)
- Area of law
- Capital markets and financial supervision · Market abuse and insider dealing
- Legal basis
- Art. 14(a) UK MAR
- Action
- Fine
- Status of proceedings
- final
- Sector
- Energy and utilities
- Culpability
- intentional
- Mitigating circumstances
- 30 % discount for settlement at an early stage of the proceedings
- Published
- 16 Jan 2026
Original amount 309,843 GBP, converted at the ECB reference rate of 19 Dec 2025.
- FCA fines oil rig consultant £309,843 for insider dealing Press release of an authority
- 2025 fines Enforcement database of an authority
- FCA Final Notice: Russel Gerrity (19 December 2025) Decision of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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26 Nov 2024 Macquarie Bank Limited, London BranchMacquarie Bank London: 13 million GBP – trader concealed over 400 fictitious trades €15.6m
From June 2020 to February 2022, a trader on the metals and commodities desk was able to book over 400 fictitious trades and circumvent three key internal controls in order to conceal losses; the bank was partly aware of the weaknesses but did not remedy them in time. Unwinding the positions cost around 57.8 million USD; the Financial Conduct Authority (FCA) imposed 13 million GBP on the bank and banned the trader Travis Klein.
Close known control weaknesses in trading with a deadline and a responsible person – otherwise a lone perpetrator becomes an organisational failure.
Recognising and reporting circumvention of controls in trading
- Authority / court
- Financial Conduct Authority (FCA)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- FCA Principles for Businesses, Principle 3 (Systeme und Kontrollen); s. 206 Financial Services and Markets Act 2000
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Employees
- 10,000 or more
- Liability of senior managers
- Prohibition order imposed on the trader; no fine imposed on him on grounds of serious financial hardship.
Original amount 13,031,400 GBP, converted at the ECB reference rate of 26 Nov 2024.
- FCA: MBL fined £13m for serious control failures that allowed trader to conceal over 400 fictitious trades (26.11.2024) Press release of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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26 Nov 2024 András Sebők (ehem. Chief Supply Chain Officer der Wizz Air Holdings plc)Wizz Air: executive trades in closed periods and fails to notify own transactions €147,940
In 2019–2020, the former Chief Supply Chain Officer András Sebők carried out 115 transactions in Wizz Air shares worth more than 4 million GBP, some of them in the 30-day closed periods before the publication of results, and did not notify them within three business days. First FCA penalty against a person discharging managerial responsibilities (PDMR) for dealing in a closed period: 123,500 GBP.
Executives need annual instruction and a pre-clearance procedure for their own share dealings, including closed periods.
Directors' dealings: closed periods and notification obligations of executives
- Authority / court
- Financial Conduct Authority (FCA)
- Area of law
- Capital markets and financial supervision · Market abuse and insider dealing
- Legal basis
- Art. 19 MAR
- Action
- Fine
- Status of proceedings
- final
- Sector
- Transport, logistics and shipping
- Mitigating circumstances
- 30 % discount for settlement
- Liability of senior managers
- András Sebők (former Chief Supply Chain Officer): 123,500 GBP
- Published
- 27 Nov 2024
Original amount 123,500 GBP, converted at the ECB reference rate of 26 Nov 2024.
- FCA fines former airline executive £123,500 Press release of an authority
- Primary Markets enforcement outcomes Enforcement database of an authority
- FCA Final Notice: András Sebők (26 November 2024) Decision of an authority
Checked against the official source on 25 Sep 2026 · Direct link