Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe and North America: 718 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 regionAll jurisdictions
What for?
by area of lawAll areas of law
Who?
by company- The Toronto-Dominion Bank €113m 11 % · 1 case
- UBS Financial Services Inc. €108.4m 10 % · 1 case
- Xeltox Enterprises Ltd. (Cryptomus) €108.1m 10 % · 1 case
- Two Sigma Investments LP und Two Sigma Advisers LP €87.6m 8 % · 1 case
- FleetCor Technologies Inc. (heute Corpay Inc.) €87.1m 8 % · 1 case
- Canaccord Genuity LLC €69.2m 7 % · 1 case
- Nationwide Building Society €50.4m 5 % · 1 case
- J.P. Morgan SE €45m 4 % · 1 case
- BMO Capital Markets Corp. €39.9m 4 % · 1 case
- Block, Inc. €36.1m 3 % · 1 case
- 119 more€304.2m
When?
per quarter, by date of decision| Period | Cases | Total |
|---|---|---|
| Q3 2023 | 0 | — |
| Q4 2023 | 0 | — |
| Q1 2024 | 1 | €206,574 |
| Q2 2024 | 0 | — |
| Q3 2024 | 0 | — |
| Q4 2024 | 0 | — |
| Q1 2025 | 0 | — |
| Q2 2025 | 0 | — |
| Q3 2025 | 0 | — |
| Q4 2025 | 0 | — |
| Q1 2026 | 0 | — |
| Q2 2026 | 0 | — |
| Q3 2026 | 0 | — |
1 case
18 Mar 2024 Delphia (USA) Inc.SEC ‘AI washing’: Delphia pays 225,000 US dollars for fabricated AI use €206,574
From 2019 to 2023, the investment adviser claimed to use AI and machine learning to analyse client data for investment decisions but did not have these capabilities. In a settlement with the U.S. Securities and Exchange Commission (SEC) (without admission), Delphia paid 225,000 US dollars.
Statements about the use of AI in marketing and investor information must be technically verifiable.
Permissible advertising claims about AI capabilities
- Authority / court
- U.S. Securities and Exchange Commission
- Area of law
- AI and digital regulation · AI systems
- Legal basis
- Investment Advisers Act of 1940; Marketing Rule
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Published
- 18 Mar 2024
Original amount 225,000 USD, converted at the ECB reference rate of 18 Mar 2024.
Checked against the official source on 25 Sep 2026 · Direct link