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 countryWhat for?
by action- Fine €3.77m 100 % · 5 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 | 1 | €420,000 |
| Q4 2024 | 1 | €608,080 |
| Q1 2025 | 0 | — |
| Q2 2025 | 1 | €1.72m |
| Q3 2025 | 0 | — |
| Q4 2025 | 0 | — |
| Q1 2026 | 1 | €625,000 |
| Q2 2026 | 1 | €400,000 |
| Q3 2026 | 0 | — |
5 cases
13 May 2026 Oma Säästöpankki OyjOma Säästöpankki: 400,000 EUR over late and incomplete insider lists €400,000
The bank failed to draw up insider lists in good time for two pieces of inside information (termination of the core banking project with Cognizant in 2021, merger talks with Liedon Säästöpankki in 2022), did not update them and omitted mandatory information. The Finanssivalvonta (Finnish Financial Supervisory Authority, FIN-FSA) imposed a total fine of 400,000 EUR; the decision was not appealed and is final.
Insider lists must be created from the moment inside information exists – a fixed process with designated responsible persons prevents gaps.
Insider lists and handling of inside information
- Authority / court
- Finanssivalvonta (FIN-FSA)
- Area of law
- Capital markets and financial supervision · Market abuse and insider dealing
- Legal basis
- Verordnung (EU) Nr. 596/2014 (MAR) Art. 18 Abs. 1, 3 und 4; Durchführungsverordnung (EU) 2016/347
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Mitigating circumstances
- Measures to prevent recurrence and partial admission/cooperation had a mitigating effect.
- Published
- 15 May 2026
- Finanssivalvonta – Oma Säästöpankki Oyj:lle 400 000 euron yhteinen seuraamusmaksu (15.5.2026) Press release of an authority
- Finanssivalvonta – Toimituskirja FIVA/2026/227 vom 13.05.2026 (Oma Säästöpankki Oyj) Decision of an authority
- Finanssivalvonta – Hallinnolliset seuraamukset (Übersicht mit Rechtskraftvermerk) Enforcement database of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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16 Jan 2026 M. van Wettum (indirekter Direktor einer an NX Filtration N.V. beteiligten Gesellschaft)Marking the close at NX Filtration: 625,000 EUR fine for investor €625,000
On the last trading day of 2023, shortly before the market close, the investor had NX Filtration shares bought in order – according to a recorded telephone call – to raise the closing price from 6.30 to 6.70 EUR, which succeeded. The Dutch Authority for the Financial Markets (AFM) classified this as market manipulation ("marking the close") and imposed a fine of 625,000 EUR.
Influencing share prices on balance sheet dates is market manipulation – broker orders with price targets are recorded and analysed.
Prohibited price support at year-end (marking the close)
- Authority / court
- Autoriteit Financiële Markten (AFM)
- Area of law
- Capital markets and financial supervision · Market abuse and insider dealing
- Legal basis
- Art. 15 MAR
- Action
- Fine
- Status of proceedings
- under appeal
- Sector
- Manufacturing and mechanical engineering
- Culpability
- intentional
- Published
- 13 Jul 2026
- Boete van €625.000 voor M. van Wettum wegens marktmanipulatie Press release of an authority
- Boetebesluit M. van Wettum (AFM, 16 januari 2026) Decision of an authority
- Actuele stand van zaken – bestuurlijke boete M. van Wettum (AFM) Official register or notice
Checked against the official source on 25 Sep 2026 · Direct link
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10 Jun 2025 SMCP SA; European TopSoho S.à r.l.; Dynamic Treasure GroupSMCP: threshold notifications missed, misleading announcement, inside information not protected €1.72m
In connection with the change of control at the fashion group SMCP in 2021/22, the major shareholder European TopSoho (ETS) and Dynamic Treasure Group failed to make threshold notifications; ETS also disseminated a misleading press release. SMCP itself failed to maintain the confidentiality of inside information. Sanctions imposed by the Enforcement Committee of France's financial markets authority (Autorité des marchés financiers, AMF): Chenran Qiu 1 million EUR, ETS 400,000 EUR, DTG 300,000 EUR, SMCP 20,000 EUR.
Issuers must effectively shield inside information even when the conflict originates with the major shareholder.
Ensuring the confidentiality of inside information
- Authority / court
- Autorité des marchés financiers (AMF), Commission des sanctions
- Area of law
- Capital markets and financial supervision · Market abuse and insider dealing
- Legal basis
- Art. L. 233-7 Code de commerce; Art. 223-14 RG AMF; Art. 12 Abs. 1 lit. c MAR; Art. 2 Abs. 1 DVO (EU) 2016/1055
- Action
- Fine
- Status of proceedings
- under appeal
- Sector
- Retail and e-commerce
- Liability of senior managers
- Chenran Qiu: 1,000,000 EUR (ETS's infringements attributed to her)
- Décision SAN-2025-05 Decision of an authority
- Décision n° 5 du 10 juin 2025 (PDF) Decision of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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22 Nov 2024 Banus Port Vagyonkezelő Zrt.Banus Port: 250 million HUF for fictitious trading in 4iG shares €608,080
From September 2023 to May 2024, the asset management company used transactions worth several billion forints to create false signals about the trading volume of 4iG shares (‘painting the tape’). The Magyar Nemzeti Bank (Central Bank of Hungary, MNB) prohibited any repetition, imposed 250 million HUF and filed a criminal complaint.
Transactions that mainly simulate turnover are market manipulation – even without a price target.
- Authority / court
- Magyar Nemzeti Bank (MNB)
- Area of law
- Capital markets and financial supervision · Market abuse and insider dealing
- Legal basis
- Art. 12, 15 MAR (Marktmanipulation), Beschluss H-PJ-III-B-26/2024
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Culpability
- intentional
- Published
- 22 Nov 2024
Original amount 250,000,000 HUF, converted at the ECB reference rate of 22 Nov 2024.
- Banus Port Zrt.: piaci manipuláció, 250 milliós bírság Press release of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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19 Jul 2024 Parrot SAParrot: misleading half-yearly report and insider dealing ahead of a takeover bid €420,000
In its 2018 half-yearly report, the drone manufacturer disseminated misleading information on the absence of impairment indicators for the drone division, on goodwill and on earnings; in addition, the deputy managing director used inside information about a planned takeover bid. Sanctions: Parrot 150,000 EUR, CEO Henri Seydoux 60,000 EUR, Gilles Labossière 210,000 EUR.
Impairment tests for loss-making divisions and trading bans for management are particularly sensitive in a takeover context.
Insider dealing ban for executives in connection with takeover plans
- Authority / court
- Autorité des marchés financiers (AMF), Commission des sanctions
- Area of law
- Capital markets and financial supervision · Market abuse and insider dealing
- Legal basis
- Art. 12 Abs. 1 lit. c, Art. 15 MAR; Art. 8 und 14 MAR
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Telecoms, IT and software
- Liability of senior managers
- Henri Seydoux (Président-directeur général): 60,000 EUR; Gilles Labossière (directeur général délégué): 210,000 EUR, including for insider dealing
- Décision SAN-2024-07 Decision of an authority
- Décision n° 7 du 19 juillet 2024 (PDF) Decision of an authority
Checked against the official source on 25 Sep 2026 · Direct link