Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe, North America, Latin America, Asia-Pacific and Middle East: 1,929 cases from 40 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- Australian Securities and Investments Commission (ASIC) €1.21m 100 % · 1 case
What for?
by area of lawAll areas of law
Who?
by company- Union Standard International Group Pty Ltd; Maxi EFX Global AU Pty Ltd (EuropeFX); BrightAU Capital Pty Ltd (TradeFred) €182.1m 50 % · 1 case
- Australia and New Zealand Banking Group Limited €76.1m 21 % · 1 case
- Macquarie Securities (Australia) Limited €21.5m 6 % · 1 case
- HSBC Bank Australia Limited €21.4m 6 % · 1 case
- AustralianSuper (Trustee des Pensionsfonds AustralianSuper) €16.5m 4 % · 1 case
- ASX Limited €12.4m 3 % · 1 case
- Allianz Australia Insurance Limited; AWP Australia Pty Ltd €10m 3 % · 1 case
- LGSS Pty Ltd (Trustee des Active Super Fonds) €6.12m 2 % · 1 case
- Oztures Trading Pty Ltd (Binance Australia Derivatives) €5.98m 2 % · 1 case
- Bit Trade Pty Ltd (Betreiber der Kryptobörse Kraken) €4.87m 1 % · 1 case
- 5 more€9.87m
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 | 0 | – |
| Q2 2025 | 0 | – |
| Q3 2025 | 0 | – |
| Q4 2025 | 0 | – |
| Q1 2026 | 0 | – |
| Q2 2026 | 1 | €1.21m |
| Q3 2026 | 0 | – |
| Q4 2026 | 0 | – |
1 case
11 Jun 2026 Deutsche Bank AktiengesellschaftDeutsche Bank AG: AUD 2m penalty for inaccurate derivative trade reporting €1.21m
ASIC issued an infringement notice because on 208 business days between October 2024 and August 2025 Deutsche Bank had not accurately reported the “direction” fields for 20,483 outstanding and 244,091 terminated or matured OTC derivative transactions, mostly foreign exchange trades, to trade repositories. The bank allegedly paid AUD 2 million under the infringement notice; payment is not an admission of guilt.
Derivative reporting systems need plausibility checks on mandatory fields, otherwise individual errors add up to systemic breaches.
Data quality in regulatory transaction reporting
- Authority / court
- Australian Securities and Investments Commission (ASIC)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Rule 2.2.6 ASIC Derivative Transaction Rules (Reporting) 2024; reg 7.5A.104 Corporations Regulations 2001
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Employees
- 10,000 or more
- Mitigating circumstances
- Cooperation with ASIC and measures to prevent further reporting errors.
- Published
- 13 Jul 2026
Original amount 2,000,000 AUD, converted at the ECB reference rate of 11 Jun 2026.
- ASIC 26-149MR: Deutsche Bank pays $2 million penalty for systemic trade reporting failures Press release of an authority
- ASIC Infringement Notice an Deutsche Bank Aktiengesellschaft (DBK.0014.0001.0001), gegeben am 11. Juni 2026 Decision of an authority
- ASIC Infringement Notices Register Official register or notice
Checked against the official source on 3 Oct 2026 · Direct link