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 levelWhat for?
by area of lawAll areas of law
Who?
by company- The Toronto-Dominion Bank €113m 17 % · 1 case
- UBS Financial Services Inc. €108.4m 16 % · 1 case
- Two Sigma Investments LP und Two Sigma Advisers LP €87.6m 13 % · 1 case
- FleetCor Technologies Inc. (heute Corpay Inc.) €87.1m 13 % · 1 case
- Canaccord Genuity LLC €69.2m 11 % · 1 case
- BMO Capital Markets Corp. €39.9m 6 % · 1 case
- Block, Inc. €36.1m 5 % · 1 case
- Paxos Trust Company, LLC €22.8m 3 % · 1 case
- DWS Investment Management Americas Inc. €17.9m 3 % · 1 case
- J.P. Morgan Securities LLC €16.5m 3 % · 1 case
- 20 more€60m
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 | 1 | €87.6m |
| Q2 2025 | 0 | — |
| Q3 2025 | 0 | — |
| Q4 2025 | 0 | — |
| Q1 2026 | 0 | — |
| Q2 2026 | 0 | — |
| Q3 2026 | 0 | — |
1 case
16 Jan 2025 Two Sigma Investments LP und Two Sigma Advisers LPTwo Sigma: 90 million USD – known weaknesses in investment models left unremedied for years €87.6m
Employees identified weaknesses in investment models that could affect client returns by March 2019 at the latest, but Two Sigma only acted in August 2023; there were no policies, and one employee made unauthorised changes to more than a dozen models. In addition, separation agreements required employees to declare that they had not filed any complaint with authorities. The U.S. Securities and Exchange Commission (SEC) imposed 90 million USD; Two Sigma had already repaid 165 million USD to clients.
Model risks need a change and approval procedure – and identified weaknesses need a binding deadline for remediation.
- Authority / court
- U.S. Securities and Exchange Commission (SEC)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Investment Advisers Act of 1940 (Antifraud, Compliance Rule 206(4)-7); Exchange Act Rule 21F-17(a)
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Culpability
- intentional
- Mitigating circumstances
- Voluntary repayment of 165 million USD to affected funds and accounts.
Original amount 90,000,000 USD, converted at the ECB reference rate of 16 Jan 2025.
- SEC Charges Two Sigma for Failing to Address Known Vulnerabilities in its Investment Models (16.01.2025) Press release of an authority
Checked against the official source on 25 Sep 2026 · Direct link