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 authority- Financial Conduct Authority (FCA) — 0 % · 1 case
What for?
by area of lawAll areas of law
Who?
by company- Nationwide Building Society €50.4m 44 % · 1 case
- Monzo Bank Limited €24.5m 21 % · 1 case
- Macquarie Bank Limited, London Branch €15.6m 14 % · 1 case
- The London Metal Exchange (LME) €11m 10 % · 1 case
- ADM Investor Services International Limited €7.48m 6 % · 1 case
- Citibank, N.A., London Branch €5.54m 5 % · 1 case
- Dinosaur Merchant Bank Limited €389,760 0 % · 1 case
- Arian Financial LLP €344,791 0 % · 1 case
- CACEIS Bank (UK Branch) — 0 % · 1 case
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 | 0 | — |
| Q1 2025 | 0 | — |
| Q2 2025 | 0 | — |
| Q3 2025 | 0 | — |
| Q4 2025 | 0 | — |
| Q1 2026 | 0 | — |
| Q2 2026 | 1 | — |
| Q3 2026 | 0 | — |
1 case
19 Jun 2026 CACEIS Bank (UK Branch)FCA: public censure for CACEIS UK over deficient checks on a custody client Reprimand or warning
The UK Financial Conduct Authority (FCA) issued a public censure because the London branch opened and operated accounts for the wealth manager WealthTek, although its own register searches showed that it lacked permissions to hold client assets, and overlooked a restriction noted in the register; 16 monitoring alerts were not worked through over two years, and more than £314 million flowed through the accounts. In view of cooperation and a voluntary payment of £31.7 million to WealthTek clients, the FCA refrained from imposing a fine (otherwise £23.1 million after discount).
Anyone who notices a discrepancy in the register must clarify and document it before accounts are activated.
Register checks and follow-up on identified KYC gaps
- Authority / court
- Financial Conduct Authority (FCA)
- Area of law
- Money laundering and terrorist financing · Customer due diligence
- Legal basis
- Section 205 FSMA (Public Censure) wegen Verstoßes gegen FCA Principle 2; Maßstab u. a. SYSC 6.1.1R, 6.3.1R, 6.3.3R und Regulations 18, 27, 28 MLR 2017
- Action
- Reprimand or warning
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Mitigating circumstances
- Cooperation, acknowledgement of the deficiencies and a voluntary payment of £31,714,068 to those harmed
- Published
- 25 Jun 2026
- Final Notice 2026: CACEIS Bank (UK Branch) Decision of an authority
Checked against the official source on 25 Sep 2026 · Direct link