Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe, North America and Asia-Pacific: 1,838 cases from 37 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- Supreme Court of New South Wales (auf Antrag der Australian Securities and Investments Commission, ASIC) €21.5m 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 | 1 | €21.5m |
| Q2 2026 | 0 | – |
| Q3 2026 | 0 | – |
| Q4 2026 | 0 | – |
1 case
13 Mar 2026 Macquarie Securities (Australia) LimitedMacquarie Securities: 35 million AUD for years of misreported short sales €21.5m
The Supreme Court of New South Wales, on application by the Australian Securities and Investments Commission (ASIC, Australia's corporate, markets and financial services regulator), imposed a penalty of 35 million AUD on the securities dealer because, between December 2009 and February 2024, inadequate systems, processes and controls led it to misreport at least 73 million short sales to the market operator and to omit required regulatory data from orders. The court also found inadequate risk management and misleading conduct, and ordered a compliance programme involving an independent expert.
Regulatory reporting processes need their own regularly tested controls, and individual errors that come to light should be investigated as a possible sign of wider system weaknesses.
Accuracy of regulatory reporting (short sale and order data) and escalation of identified reporting errors
- Authority / court
- Supreme Court of New South Wales (auf Antrag der Australian Securities and Investments Commission, ASIC)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Corporations Act 2001 (Cth) ss 798H(1)(b), 912A(1)(h), 1041H(1); ASIC Market Integrity Rules (Securities Markets) 2017; Geldbuße nach s 1317G(1)
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Employees
- 50 to 249
- Mitigating circumstances
- Early acceptance of the contraventions, sustained cooperation with ASIC and contrition; the errors were reported to ASIC once identified and promptly remediated; no previous court findings of similar conduct.
- Liability of senior managers
- According to the decision, the errors arose at an operational level; ASIC did not allege any involvement of senior management.
- Published
- 16 Mar 2026
Original amount 35,000,000 AUD, converted at the ECB reference rate of 13 Mar 2026.
Checked against the official source on 3 Oct 2026 · Direct link