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) €930,659 100 % · 3 cases
What for?
by action- Fine €930,659 100 % · 3 cases
Who?
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 | 1 | €147,940 |
| Q1 2025 | 0 | — |
| Q2 2025 | 0 | — |
| Q3 2025 | 0 | — |
| Q4 2025 | 1 | €353,702 |
| Q1 2026 | 1 | €429,017 |
| Q2 2026 | 0 | — |
| Q3 2026 | 0 | — |
3 cases
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 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