Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe, North America, Latin America, Asia-Pacific and Middle East: 1,918 cases from 40 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- Anonymised companies 102 cases 23 % · €1.34bn
- Peken Global Limited (KuCoin) 3 cases 1 % · €12.7m
- „Paysera LT“, UAB 2 cases 0 % · €762,000
- Deutsche Bank Aktiengesellschaft 2 cases 0 % · €3.83m
- J.P. Morgan SE 2 cases 0 % · €57.2m
- S-Pankki Oyj 2 cases 0 % · €9.47m
- UBS Financial Services Inc. 2 cases 0 % · €115.3m
- „ЗП Либра“ ООД 1 case 0 % · €22,602
- 13010431 Canada Inc. (Necosmart) 1 case 0 % · €434,295
- 2147353 Ontario Inc. 1 case 0 % · €22,376
- 335 more335 cases
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 | 1 | €2.62m |
| Q4 2025 | 0 | – |
| Q1 2026 | 0 | – |
| Q2 2026 | 1 | €1.21m |
| Q3 2026 | 0 | – |
| Q4 2026 | 0 | – |
2 cases
11 Jun 2026 Deutsche Bank AktiengesellschaftDeutsche Bank AG: AUD 2m penalty for inaccurate derivative trade reporting €1.21m
ASIC issued an infringement notice because on 208 business days between October 2024 and August 2025 Deutsche Bank had not accurately reported the “direction” fields for 20,483 outstanding and 244,091 terminated or matured OTC derivative transactions, mostly foreign exchange trades, to trade repositories. The bank allegedly paid AUD 2 million under the infringement notice; payment is not an admission of guilt.
Derivative reporting systems need plausibility checks on mandatory fields, otherwise individual errors add up to systemic breaches.
Data quality in regulatory transaction reporting
- Authority / court
- Australian Securities and Investments Commission (ASIC)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Rule 2.2.6 ASIC Derivative Transaction Rules (Reporting) 2024; reg 7.5A.104 Corporations Regulations 2001
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Employees
- 10,000 or more
- Mitigating circumstances
- Cooperation with ASIC and measures to prevent further reporting errors.
- Published
- 13 Jul 2026
Original amount 2,000,000 AUD, converted at the ECB reference rate of 11 Jun 2026.
- ASIC 26-149MR: Deutsche Bank pays $2 million penalty for systemic trade reporting failures Press release of an authority
- ASIC Infringement Notice an Deutsche Bank Aktiengesellschaft (DBK.0014.0001.0001), gegeben am 11. Juni 2026 Decision of an authority
- ASIC Infringement Notices Register Official register or notice
Checked against the official source on 3 Oct 2026 · Direct link
Report an error
28 Aug 2025 Deutsche Bank AktiengesellschaftDeutsche Bank: HKD 23.8m fine in Hong Kong over fee and disclosure errors €2.62m
Deutsche Bank AG was publicly reprimanded and fined 23,800,000 HKD in Hong Kong. Clients were overcharged fees of about 5 million USD in management fees on 39 accounts, 10,988 EUR at 92 customers and 493 USD at 32 customers, because agreed discounts were not applied, floating rate debt instruments were wrongly valued and fund prices were not updated. 261 single stock and 1,590 industry research reports lacked disclosure of investment banking relationships. 40 ETFs were given too low a product risk rating. The proceedings stemmed from the bank's self-reports.
Agreed fee discounts, valuation data from external vendors and disclosures in research reports need regular reconciliation so that system errors do not persist for years.
Fee billing, valuation data and disclosure in research reports
- Authority / court
- Securities and Futures Commission (SFC)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- s. 196 SFO (Cap. 571); Code of Conduct GP 2, GP 7, paras. 2.1, 12.1, 16.5(d)
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Employees
- 10,000 or more
- Culpability
- negligent
- Mitigating circumstances
- Self-reports, root-cause analysis, remediation and stronger controls, refund of overcharged fees, breaches found by the regulator to be inadvertent and without intent, cooperation and acceptance of the findings.
- Published
- 28 Aug 2025
Original amount 23,800,000 HKD, converted at the ECB reference rate of 28 Aug 2025.
- SFC press release 25PR132: SFC reprimands and fines Deutsche Bank Aktiengesellschaft $23.8 million (28.08.2025) Press release of an authority
- SFC Statement of Disciplinary Action zu 25PR132 Decision of an authority
Checked against the official source on 3 Oct 2026 · Direct link