Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe, North America, Latin America, Asia-Pacific, Middle East and Africa: 2,033 cases from 44 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.
Click a bar to drill down one level.
Where?
by authority- Financial Services Agency (FSA, 金融庁) 3 cases 60 % ·
- Financial Services Agency (FSA, 金融庁) auf Empfehlung der Securities and Exchange Surveillance Commission (SESC, 証券取引等監視委員会) 1 case 20 % · €131,155
- Kanto Local Finance Bureau (関東財務局) auf Empfehlung der Securities and Exchange Surveillance Commission (SESC, 証券取引等監視委員会) 1 case 20 % ·
What for?
by area of lawAll areas of law
Who?
by company- moomoo証券株式会社 1 case 20 % ·
- Tokio Marine & Nichido Fire Insurance, Sompo Japan Insurance, Mitsui Sumitomo Insurance u. a. (4 Unternehmen) 1 case 20 % ·
- いわき信用組合 (Iwaki Credit Cooperative) 1 case 20 % ·
- 株式会社イオン銀行 (AEON Bank, Ltd.) 1 case 20 % ·
- 野村證券株式会社 (Nomura Securities Co., Ltd.) 1 case 20 % · €131,155
When?
per quarter, by date of decision| Period | Cases | Total |
|---|---|---|
| Q4 2023 | 0 | – |
| Q1 2024 | 0 | – |
| Q2 2024 | 0 | – |
| Q3 2024 | 0 | – |
| Q4 2024 | 2 | €131,155 |
| Q1 2025 | 1 | – |
| Q2 2025 | 0 | – |
| Q3 2025 | 0 | – |
| Q4 2025 | 1 | – |
| Q1 2026 | 0 | – |
| Q2 2026 | 1 | – |
| Q3 2026 | 0 | – |
| Q4 2026 | 0 | – |
5 cases
19 Jun 2026 moomoo証券株式会社moomoo Securities: three months without new accounts after false NISA information and AML gaps Order
From February to May 2025 the online broker wrongly displayed at least 77 US ETFs and ETNs as eligible for NISA (59 clients traded 25 of them in the tax-advantaged account) and repeated this for a further security after discovery, handled affected clients carelessly and unequally, had since 2024 refused all transfers of holdings to other institutions, carried out no suspicious-transaction assessment for at least 1,531 rejected account applicants and managed cyber and system risks inadequately. Soliciting and accepting new accounts was prohibited from 19 June to 18 September 2026, together with a business improvement order.
A firm that grows fast with account-opening bonuses must scale product approval, complaints handling, suspicious-transaction checks and IT security at the same pace.
Accurate product information and suspicious-transaction checks also for rejected clients
Missing or inadequate training played a role in the decision.
- Authority / court
- Kanto Local Finance Bureau (関東財務局) auf Empfehlung der Securities and Exchange Surveillance Commission (SESC, 証券取引等監視委員会)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Financial Instruments and Exchange Act (FIEA, 金融商品取引法) Art. 52 Abs. 1, Art. 51; Art. 38 Nr. 1, Art. 43, Art. 40 Nr. 2 FIEA i. V. m. Art. 123 Abs. 1 Nr. 14 Cabinet Office Order on Financial Instruments Business; Act on Prevention of Transfer of Criminal Proceeds (犯罪収益移転防止法)
- Action
- Order
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Published
- 19 Jun 2026
- 関東財務局 – moomoo証券株式会社に対する行政処分について（令和8年6月19日） Press release of an authority
- 金融庁 – moomoo証券株式会社に対する行政処分について（令和８年６月19日） Press release of an authority
- FSA – 行政処分事例集 (Sammlung der Verwaltungsmaßnahmen, Stand 30.06.2026, Excel) Enforcement database of an authority
Checked against the official source on 4 Oct 2026 · Direct link
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31 Oct 2025 いわき信用組合 (Iwaki Credit Cooperative)Iwaki Credit Cooperative: lending halt for new clients after payments to anti-social forces Order
Among other things, between 2004 and 2011 the credit cooperative had channelled loans taken out in the names of uninvolved people without their knowledge, and via shell companies, to a distressed large borrower group, thereby circumventing large-exposure limits; it had paid large cash sums to anti-social forces (hanshakai-teki seiryoku), carried out no suspicious-transaction assessments and given false reports and false statements to the supervisor. Besides a comprehensive business improvement order, lending to new clients was suspended from 17 November to 16 December 2025, combined with training of all staff away from day-to-day business and the immediate severing of ties with anti-social forces; it was the second order against the cooperative in 2025.
When management and control functions jointly cover up breaches, only a rebuild of governance helps, and every false statement to the supervisor makes the consequences worse.
Resisting demands from anti-social forces and truthful information to the supervisor
Missing or inadequate training played a role in the decision.
- Authority / court
- Financial Services Agency (FSA, 金融庁)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Act on Financial Businesses by Cooperatives (協同組合による金融事業に関する法律) Art. 6 Abs. 1 i. V. m. Banking Act (銀行法) Art. 26 Abs. 1; Art. 10 Nr. 2 und 3 (falsche Berichte und Aussagen); Act on Prevention of Transfer of Criminal Proceeds (犯罪収益移転防止法)
- Action
- Order
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Repeat case
- yes
- Liability of senior managers
- Measures against individuals are not set out here.
- Published
- 31 Oct 2025
- 金融庁 – いわき信用組合に対する行政処分について（令和７年10月31日） Press release of an authority
- 金融庁 – いわき信用組合に対する行政処分について（令和７年５月29日, frühere Anordnung des Tohoku Local Finance Bureau） Press release of an authority
- FSA – 行政処分事例集 (Sammlung der Verwaltungsmaßnahmen, Stand 30.06.2026, Excel) Enforcement database of an authority
Checked against the official source on 4 Oct 2026 · Direct link
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24 Mar 2025 Tokio Marine & Nichido Fire Insurance, Sompo Japan Insurance, Mitsui Sumitomo Insurance u. a. (4 Unternehmen)Four insurers: orders after customer data were passed on via agencies Order
Multi-insurer agencies had forwarded policyholder data to competing insurers, and insurance staff seconded to agencies had sent the agencies’ customer data to their employer without the agencies’ consent; from the agency channel alone, Tokio Marine & Nichido reported 1,004,861, Sompo Japan 799,331, Mitsui Sumitomo 319,915 and Aioi Nissay Dowa 221,144 affected records. The business improvement orders under Art. 132(1) of the Insurance Business Act require a compliance organisation for data protection and unfair competition law, customer data management also at the agencies, stricter rules on secondments, a review by external experts and a fundamental overhaul of the improvement plans submitted after the December 2023 order.
Seconded staff and multi-insurer agencies are data protection risks: customer data may only flow between agency and insurer on a lawful basis.
Passing on customer data in sales via agencies
Missing or inadequate training played a role in the decision.
- Authority / court
- Financial Services Agency (FSA, 金融庁)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Insurance Business Act (保険業法) Art. 132 Abs. 1; Bezug zum APPI (個人情報保護法) und zum Unfair Competition Prevention Act (不正競争防止法)
- Action
- Order
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Employees
- 10,000 or more
- Repeat case
- yes
- Published
- 24 Mar 2025
- 金融庁 – 損害保険会社４社に対する行政処分について（令和７年３月24日） Press release of an authority
- 金融庁 – 東京海上日動火災保険株式会社に対する行政処分について（PDF） Decision of an authority
- 金融庁 – 損害保険ジャパン株式会社に対する行政処分について（PDF） Decision of an authority
- FSA – 行政処分事例集 (Sammlung der Verwaltungsmaßnahmen, Stand 30.06.2026, Excel) Enforcement database of an authority
Checked against the official source on 4 Oct 2026 · Direct link
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26 Dec 2024 株式会社イオン銀行 (AEON Bank, Ltd.)AEON Bank: order over 14,639 unreviewed money laundering alerts Order
Between June and November 2023 and between July and September 2024, the bank failed to assess at least 14,639 transactions flagged by its transaction monitoring for whether suspicious transaction reports were needed, and took up to 152 days on monthly average to file reports (February 2024). It had also not implemented the measures required by the supervisory AML/CFT guidelines by the end-March 2024 deadline and had not remedied findings from the previous inspection. The business improvement order under Art. 26(1) of the Banking Act requires, among other things, the outstanding reviews and reports to be completed and governance by the board and management to be fundamentally strengthened.
Transaction monitoring only works with enough staff to assess every alert promptly; backlogs must reach the board.
Prompt handling of monitoring alerts and suspicious transaction reports
- Authority / court
- Financial Services Agency (FSA, 金融庁)
- Area of law
- Money laundering and terrorist financing · Suspicious activity reports
- Legal basis
- Banking Act (銀行法) Art. 26 Abs. 1; Act on Prevention of Transfer of Criminal Proceeds (犯罪収益移転防止法); Guidelines for AML/CFT der FSA
- Action
- Order
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Repeat case
- yes
- Liability of senior managers
- According to the reasons, the board and management neither established the facts themselves nor gave instructions despite repeated signals from backlogs, inspection findings and internal audit; the order requires responsibility to be clarified.
- Published
- 26 Dec 2024
- 金融庁 – イオン銀行に対する行政処分について（令和６年12月26日） Press release of an authority
- FSA – Administrative Action against AEON Bank, Ltd. (English version of 26 December 2024 release, published 29 January 2025) Press release of an authority
- FSA – 行政処分事例集 (Sammlung der Verwaltungsmaßnahmen, Stand 30.06.2026, Excel) Enforcement database of an authority
Checked against the official source on 4 Oct 2026 · Direct link
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30 Oct 2024 野村證券株式会社 (Nomura Securities Co., Ltd.)Nomura Securities: 21.76 million JPY for layering in Japanese government bond futures €131,155
A person engaged in the firm’s proprietary trading had, on 9 March 2021, repeatedly placed several layered orders in the order book for the long-term JGB future (March 2021 contract) on the Osaka Exchange to create a false impression of active trading, and then bought lower or sold higher. After administrative proceedings were opened, Nomura admitted the facts and the amount; an administrative monetary penalty (kachōkin) of 21,760,000 JPY was imposed, made up of 6,940,000 JPY for the matched volume and 14,820,000 JPY for the excess purchases.
Trade surveillance must detect layering patterns in proprietary trading, including in bond futures and not only in equities.
Spoofing and layering in proprietary trading
- Authority / court
- Financial Services Agency (FSA, 金融庁) auf Empfehlung der Securities and Exchange Surveillance Commission (SESC, 証券取引等監視委員会)
- Area of law
- Capital markets and financial supervision · Market abuse and insider dealing
- Legal basis
- Financial Instruments and Exchange Act (FIEA, 金融商品取引法) Art. 174-2 Abs. 1 und 8, Art. 159 Abs. 2 Nr. 1; FIEA Enforcement Order Art. 33-13 Nr. 2; Art. 185-7 Abs. 1
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Employees
- 10,000 or more
- Published
- 31 Oct 2024
Original amount 21,760,000 JPY, converted at the ECB reference rate of 30 Oct 2024.
- 金融庁 – 長期国債先物に係る相場操縦に対する課徴金納付命令の決定について（令和６年10月31日） Press release of an authority
- 金融庁 – 決定要旨 令和６年度（判）第19号 (Entscheidung vom 30.10.2024) Decision of an authority
- SESC – 野村證券株式会社による長期国債先物に係る相場操縦に対する課徴金納付命令の勧告について（令和６年９月25日） Press release of an authority
Checked against the official source on 4 Oct 2026 · Direct link