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.

EU Financial services and insurance REGIS-TR S.A. Clear all filters

1case from 1 jurisdiction

€1.37mTotal of monetary amounts

€1.37mLargest single case: REGIS-TR S.A.

€1.37mMedian per case with an amount

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EU level €1.37m 100 % · 1 case

What for?

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All areas of law

Capital markets and financial supervision €1.37m 100 % · 1 case

Who?

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When?

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Trend
Period	Cases	Total
Q3 2023	0	—
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Q1 2024	0	—
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Q1 2025	0	—
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Q1 2026	1	€1.37m
Q2 2026	0	—
Q3 2026	0	—

1 case

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17 Feb 2026 REGIS-TR S.A.Trade repository REGIS-TR: deficiencies in organisation and data protection – 1.37 million EUR EU levelOrganisational requirements €1.37m

The Luxembourg trade repository lacked adequate compliance procedures and an appropriate organisational structure, failed to identify operational risks and did not adequately protect the confidentiality and integrity of the reported data. ESMA imposed fines totalling 1,374,000 EUR for negligent infringements under EMIR and SFTR; the case is under appeal.

What organisations can take from it

Market infrastructures must manage operational risks and data access as strictly as banks manage their credit risks.

Authority / court: Europäische Wertpapier- und Marktaufsichtsbehörde (ESMA)
Area of law: Capital markets and financial supervision · Organisational requirements
Legal basis: Verordnung (EU) Nr. 648/2012 (EMIR), Art. 65, 73, Anhang I; Verordnung (EU) 2015/2365 (SFTR), Art. 9
Action: Fine
Status of proceedings: under appeal
Sector: Financial services and insurance
Culpability: negligent
Repeat case: yes

Sources

Decision of the Board of Supervisors – REGIS-TR S.A. (ESMA43-857238790-1634) Decision of an authority
ESMA Sanctions and Enforcement Enforcement database of an authority

Checked against the official source on 25 Sep 2026 · Direct link

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How the radar is compiled

Official sources only

Every case is based on a decision, press release or database of an authority or a court. Press and law-firm reports count at most as additional references.

Four-eyes check

Whoever enters a case may not approve it. A second, independent check compares company, date, amount and area of law with the source. Only then is the case published.

Comparable amounts

Amounts are converted at the ECB reference rate on the day of the decision. Each case also shows the original amount.

Corrections on record

A correction is a new version that is checked again. Every change is logged. You can report errors directly on each case.

Case texts are translated from the German original. Where a translation is not yet available, the German text is shown and marked “(German original)”. Names of authorities, laws and companies are given as in the source.

The radar reports on published decisions and is not legal advice. Decisions that are not yet final are marked as such where the status is known.

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