Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe and North America: 1,370 cases from 35 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- Anonymised companies €1.22bn 44 % · 79 cases
- GVA Capital Ltd. €186.3m 7 % · 1 case
- The Toronto-Dominion Bank €113m 4 % · 1 case
- UBS Financial Services Inc. €108.4m 4 % · 1 case
- Xeltox Enterprises Ltd. (Cryptomus) €108.1m 4 % · 1 case
- Two Sigma Investments LP und Two Sigma Advisers LP €87.6m 3 % · 1 case
- FleetCor Technologies Inc. (heute Corpay Inc.) €87.1m 3 % · 1 case
- Canaccord Genuity LLC €69.2m 2 % · 1 case
- J.P. Morgan SE €57.2m 2 % · 2 cases
- Nationwide Building Society €50.4m 2 % · 1 case
- 206 more€697.4m
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 | €10m |
| Q1 2025 | 0 | — |
| Q2 2025 | 0 | — |
| Q3 2025 | 0 | — |
| Q4 2025 | 0 | — |
| Q1 2026 | 0 | — |
| Q2 2026 | 0 | — |
| Q3 2026 | 0 | — |
1 case
30 Oct 2024 Deutsche Bank, S.A.E.CNMV: €10m fine and advisory ban for Deutsche Bank SAE on FX derivatives €10m
The Comisión Nacional del Mercado de Valores (CNMV, Spanish securities market supervisor) imposed two fines of 5,000,000 EUR each, totalling 10,000,000 EUR, on Deutsche Bank SAE because from 2018 to March 2021 the bank advised Spanish clients on complex FX derivatives such as Target Profit Forwards and Pivot TPF without complying with its information and suitability obligations and without acting in the clients' best interests. In addition, it was barred for one year from advising on complex OTC FX derivatives in which the client sells options. The decision is not final.
When advising on complex derivatives, suitability assessments, risk disclosure and acting in the client's interest must be fully documented; otherwise activity bans may follow in addition to fines.
Investment advice and suitability assessments for complex derivatives
- Authority / court
- Comisión Nacional del Mercado de Valores (CNMV)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Art. 284.1 und Art. 283.12 i. V. m. Art. 208 bis 211 und 208 ter Texto refundido de la Ley del Mercado de Valores (Real Decreto Legislativo 4/2015); Delegierte Verordnung (EU) 2017/565; Circular CNMV 3/2013
- Action
- Fine
- Status of proceedings
- under appeal
- Sector
- Financial services and insurance
- Published
- 10 Feb 2025
- BOE-A-2025-2497: Resolución de 29 de enero de 2025 de la CNMV (sanciones a Deutsche Bank, SAE) Official register or notice
- CNMV, Registro de sanciones: Deutsche Bank SAE, mit Vermerk über das Klageverfahren (7.4.2025) Enforcement database of an authority
Checked against the official source on 28 Sep 2026 · Direct link