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 levelWhat for?
by area of lawAll areas of law
Who?
by company- TD Bank, N.A. und TD Bank USA, N.A. €1.19bn 38 % · 1 case
- Anonymised companies €928.7m 30 % · 16 cases
- GVA Capital Ltd. €186.3m 6 % · 1 case
- UBS Financial Services Inc. €115.3m 4 % · 2 cases
- The Toronto-Dominion Bank €113m 4 % · 1 case
- Two Sigma Investments LP und Two Sigma Advisers LP €87.6m 3 % · 1 case
- FleetCor Technologies Inc. (heute Corpay Inc.) €87.1m 3 % · 1 case
- Canaccord Genuity LLC €69.2m 2 % · 1 case
- Block, Inc. (Cash App) €53.5m 2 % · 1 case
- Swedbank AB (publ) (mit New York Branch) €43.6m 1 % · 1 case
- 30 more€247.6m
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 | 0 | – |
| Q3 2026 | 1 | €43.6m |
| Q4 2026 | 0 | – |
1 case
16 Jul 2026 Swedbank AB (publ) (mit New York Branch)NYDFS: USD 50 million against Swedbank for withholding information €43.6m
The NYDFS imposed a penalty of USD 50 million on Swedbank AB (publ) and its New York branch. In response to several requests by the regulator under section 37 of the New York Banking Law concerning links between its Baltic subsidiaries and the law firm Mossack Fonseca (Panama Papers) and the status of European investigations, the bank did not provide the requested information, in breach of section 125(3) of the New York Banking Law. The authority allegedly made the findings set out here; this account is not based on a final judgment.
Information requests from the regulator must be answered in full; withholding information is sanctioned in its own right.
Complete and truthful disclosures to the regulator
- Authority / court
- New York State Department of Financial Services (NYDFS)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- New York Banking Law § 125(3) i. V. m. § 37; Sanktion nach Banking Law §§ 39, 44
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Employees
- 10,000 or more
- Liability of senior managers
- According to the order, the bank has since, among other things, dismissed its then Chief Compliance Officer and its former CEO and parted ways with numerous other employees; the majority of the board has been replaced.
- Published
- 16 Jul 2026
Original amount 50,000,000 USD, converted at the ECB reference rate of 16 Jul 2026.
Checked against the official source on 3 Oct 2026 · Direct link