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.
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Where?
by authority- Financial Services Agency (FSA, 金融庁) – 0 % · 1 case
What for?
by area of lawAll areas of law
Who?
by company- 野村證券株式会社 (Nomura Securities Co., Ltd.) €131,155 100 % · 1 case
- moomoo証券株式会社 – 0 % · 1 case
- Tokio Marine & Nichido Fire Insurance, Sompo Japan Insurance, Mitsui Sumitomo Insurance u. a. (4 Unternehmen) – 0 % · 1 case
- いわき信用組合 (Iwaki Credit Cooperative) – 0 % · 1 case
- 株式会社イオン銀行 (AEON Bank, Ltd.) – 0 % · 1 case
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 | 1 | – |
| Q1 2026 | 0 | – |
| Q2 2026 | 0 | – |
| Q3 2026 | 0 | – |
| Q4 2026 | 0 | – |
1 case
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