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- 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) – 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 | 0 | – |
| Q1 2026 | 0 | – |
| Q2 2026 | 1 | – |
| Q3 2026 | 0 | – |
| Q4 2026 | 0 | – |
1 case
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