Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe, North America, Latin America, Asia-Pacific, Middle East and Africa: 2,033 cases from 44 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- Financial Services Agency (FSA, 金融庁) – 0 % · 2 cases
- Kanto Local Finance Bureau (関東財務局) auf Empfehlung der Securities and Exchange Surveillance Commission (SESC, 証券取引等監視委員会) – 0 % · 1 case
What for?
by action- Order – 0 % · 3 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 | 1 | – |
| Q2 2025 | 0 | – |
| Q3 2025 | 0 | – |
| Q4 2025 | 1 | – |
| Q1 2026 | 0 | – |
| Q2 2026 | 1 | – |
| Q3 2026 | 0 | – |
| Q4 2026 | 0 | – |
3 cases
19 Jun 2026 moomoo証券株式会社moomoo Securities: three months without new accounts after false NISA information and AML gaps Order
From February to May 2025 the online broker wrongly displayed at least 77 US ETFs and ETNs as eligible for NISA (59 clients traded 25 of them in the tax-advantaged account) and repeated this for a further security after discovery, handled affected clients carelessly and unequally, had since 2024 refused all transfers of holdings to other institutions, carried out no suspicious-transaction assessment for at least 1,531 rejected account applicants and managed cyber and system risks inadequately. Soliciting and accepting new accounts was prohibited from 19 June to 18 September 2026, together with a business improvement order.
A firm that grows fast with account-opening bonuses must scale product approval, complaints handling, suspicious-transaction checks and IT security at the same pace.
Accurate product information and suspicious-transaction checks also for rejected clients
Missing or inadequate training played a role in the decision.
- Authority / court
- Kanto Local Finance Bureau (関東財務局) auf Empfehlung der Securities and Exchange Surveillance Commission (SESC, 証券取引等監視委員会)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Financial Instruments and Exchange Act (FIEA, 金融商品取引法) Art. 52 Abs. 1, Art. 51; Art. 38 Nr. 1, Art. 43, Art. 40 Nr. 2 FIEA i. V. m. Art. 123 Abs. 1 Nr. 14 Cabinet Office Order on Financial Instruments Business; Act on Prevention of Transfer of Criminal Proceeds (犯罪収益移転防止法)
- Action
- Order
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Published
- 19 Jun 2026
- 関東財務局 – moomoo証券株式会社に対する行政処分について（令和8年6月19日） Press release of an authority
- 金融庁 – moomoo証券株式会社に対する行政処分について（令和８年６月19日） Press release of an authority
- FSA – 行政処分事例集 (Sammlung der Verwaltungsmaßnahmen, Stand 30.06.2026, Excel) Enforcement database of an authority
Checked against the official source on 4 Oct 2026 · Direct link
Report an error
31 Oct 2025 いわき信用組合 (Iwaki Credit Cooperative)Iwaki Credit Cooperative: lending halt for new clients after payments to anti-social forces Order
Among other things, between 2004 and 2011 the credit cooperative had channelled loans taken out in the names of uninvolved people without their knowledge, and via shell companies, to a distressed large borrower group, thereby circumventing large-exposure limits; it had paid large cash sums to anti-social forces (hanshakai-teki seiryoku), carried out no suspicious-transaction assessments and given false reports and false statements to the supervisor. Besides a comprehensive business improvement order, lending to new clients was suspended from 17 November to 16 December 2025, combined with training of all staff away from day-to-day business and the immediate severing of ties with anti-social forces; it was the second order against the cooperative in 2025.
When management and control functions jointly cover up breaches, only a rebuild of governance helps, and every false statement to the supervisor makes the consequences worse.
Resisting demands from anti-social forces and truthful information to the supervisor
Missing or inadequate training played a role in the decision.
- Authority / court
- Financial Services Agency (FSA, 金融庁)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Act on Financial Businesses by Cooperatives (協同組合による金融事業に関する法律) Art. 6 Abs. 1 i. V. m. Banking Act (銀行法) Art. 26 Abs. 1; Art. 10 Nr. 2 und 3 (falsche Berichte und Aussagen); Act on Prevention of Transfer of Criminal Proceeds (犯罪収益移転防止法)
- Action
- Order
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Repeat case
- yes
- Liability of senior managers
- Measures against individuals are not set out here.
- Published
- 31 Oct 2025
- 金融庁 – いわき信用組合に対する行政処分について（令和７年10月31日） Press release of an authority
- 金融庁 – いわき信用組合に対する行政処分について（令和７年５月29日, frühere Anordnung des Tohoku Local Finance Bureau） Press release of an authority
- FSA – 行政処分事例集 (Sammlung der Verwaltungsmaßnahmen, Stand 30.06.2026, Excel) Enforcement database of an authority
Checked against the official source on 4 Oct 2026 · Direct link
Report an error
24 Mar 2025 Tokio Marine & Nichido Fire Insurance, Sompo Japan Insurance, Mitsui Sumitomo Insurance u. a. (4 Unternehmen)Four insurers: orders after customer data were passed on via agencies Order
Multi-insurer agencies had forwarded policyholder data to competing insurers, and insurance staff seconded to agencies had sent the agencies’ customer data to their employer without the agencies’ consent; from the agency channel alone, Tokio Marine & Nichido reported 1,004,861, Sompo Japan 799,331, Mitsui Sumitomo 319,915 and Aioi Nissay Dowa 221,144 affected records. The business improvement orders under Art. 132(1) of the Insurance Business Act require a compliance organisation for data protection and unfair competition law, customer data management also at the agencies, stricter rules on secondments, a review by external experts and a fundamental overhaul of the improvement plans submitted after the December 2023 order.
Seconded staff and multi-insurer agencies are data protection risks: customer data may only flow between agency and insurer on a lawful basis.
Passing on customer data in sales via agencies
Missing or inadequate training played a role in the decision.
- Authority / court
- Financial Services Agency (FSA, 金融庁)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Insurance Business Act (保険業法) Art. 132 Abs. 1; Bezug zum APPI (個人情報保護法) und zum Unfair Competition Prevention Act (不正競争防止法)
- Action
- Order
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Employees
- 10,000 or more
- Repeat case
- yes
- Published
- 24 Mar 2025
- 金融庁 – 損害保険会社４社に対する行政処分について（令和７年３月24日） Press release of an authority
- 金融庁 – 東京海上日動火災保険株式会社に対する行政処分について（PDF） Decision of an authority
- 金融庁 – 損害保険ジャパン株式会社に対する行政処分について（PDF） Decision of an authority
- FSA – 行政処分事例集 (Sammlung der Verwaltungsmaßnahmen, Stand 30.06.2026, Excel) Enforcement database of an authority
Checked against the official source on 4 Oct 2026 · Direct link