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 countryWhat for?
by area of lawAll areas of law
Who?
by company- J.P. Morgan SE €45m 32 % · 1 case
- Coinbase Europe Limited €21.5m 15 % · 1 case
- Ikano Bank AB €12.9m 9 % · 1 case
- Pluxee Česká republika a.s.; Edenred CZ s.r.o.; Up Česká republika s.r.o. €11.5m 8 % · 1 case
- N26 Bank AG €9.2m 6 % · 1 case
- Banco Bilbao Vizcaya Argentaria, S.A. – Niederlassung Italien (BBVA Italia) €5.51m 4 % · 1 case
- EOS Matrix d.o.o. €5.47m 4 % · 1 case
- Varengold Bank AG €3.8m 3 % · 1 case
- Scope Ratings GmbH €2.2m 2 % · 1 case
- Moody's Deutschland GmbH €2.15m 2 % · 1 case
- 68 more€23.1m
When?
per quarter, by date of decision| Period | Cases | Total |
|---|---|---|
| Q3 2023 | 0 | — |
| Q4 2023 | 0 | — |
| Q1 2024 | 1 | €2.2m |
| 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
20 Mar 2024 Scope Ratings GmbHScope Ratings: conflicts of interest not identified and disclosed – 2.2 million EUR €2.2m
The Berlin-based credit rating agency lacked adequate procedures, internal controls and organisational arrangements to deal with conflicts of interest, did not disclose a potential conflict and concealed ancillary services it had provided to a rated entity. ESMA found negligent infringements and imposed fines of 2,197,500 EUR.
Systematically record and disclose ancillary services for customers whom you are at the same time rating or auditing.
Identifying and disclosing conflicts of interest
- Authority / court
- Europäische Wertpapier- und Marktaufsichtsbehörde (ESMA)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Verordnung (EG) Nr. 1060/2009 (CRA-Verordnung), Anhang III
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Culpability
- negligent
- Repeat case
- yes
- Published
- 22 Mar 2024
- Decision of the Board of Supervisors – Scope Ratings GmbH (ESMA43-1868696574-770) Decision of an authority
- ESMA Sanctions and Enforcement Enforcement database of an authority
Checked against the official source on 25 Sep 2026 · Direct link