Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe and North America: 718 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 regionAll jurisdictions
What for?
by area of lawAll areas of law
Who?
by company- „Paysera LT“, UAB 2 cases 2 % · €762,000
- „ЗП Либра“ ООД 1 case 1 % · €22,602
- 13010431 Canada Inc. (Necosmart) 1 case 1 % · €434,295
- ADM Investor Services International Limited 1 case 1 % · €7.48m
- AIFM Capital AB 1 case 1 % · €177,187
- Aktia Pankki Oyj 1 case 1 % · €865,000
- American Express Carte France 1 case 1 % · €1.5m
- Arian Financial LLP 1 case 1 % · €344,791
- AS Inbank Finance 1 case 1 % ·
- Asociația Casa de Ajutor Reciproc „FLEXICREDIT” 1 case 1 % · €2,990
- 119 more119 cases
When?
per quarter, by date of decision| Period | Cases | Total |
|---|---|---|
| Q3 2023 | 1 | €17.9m |
| 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 | 0 | — |
1 case
25 Sep 2023 DWS Investment Management Americas Inc.DWS Investment Management Americas: 19 million USD for misleading ESG statements €17.9m
From 2018 until the end of 2021, the Deutsche Bank subsidiary presented ESG as part of its ‘DNA’ but did not implement the ESG integration policies it had promised. It is paying 19 million USD for the ESG misstatements; in separate proceedings over deficiencies in its anti-money laundering programme, a further 6 million USD was added.
ESG marketing statements must be backed by processes that are actually practised and documented; otherwise they become a regulatory risk.
Truthful sustainability communication in sales and marketing
- Authority / court
- U.S. Securities and Exchange Commission (SEC)
- Area of law
- Environment and sustainability · Misleading environmental and sustainability claims
- Legal basis
- Sections 206(2), 206(4) Investment Advisers Act; Rules 206(4)-7 und 206(4)-8
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Published
- 25 Sep 2023
Original amount 19,000,000 USD, converted at the ECB reference rate of 25 Sep 2023.
Checked against the official source on 25 Sep 2026 · Direct link