Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe, North America, Latin America and Asia-Pacific: 1,846 cases from 39 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 €1.34bn 25 % · 102 cases
- TD Bank, N.A. und TD Bank USA, N.A. €1.19bn 23 % · 1 case
- HSBC Bank plc €267.5m 5 % · 1 case
- GVA Capital Ltd. €186.3m 4 % · 1 case
- Union Standard International Group Pty Ltd; Maxi EFX Global AU Pty Ltd (EuropeFX); BrightAU Capital Pty Ltd (TradeFred) €182.1m 3 % · 1 case
- Royal Bank of Canada, Morgan Stanley, HSBC u. a. (5 Banken; Deutsche Bank als Kronzeugin bußgeldfrei) €126.2m 2 % · 1 case
- UBS Financial Services Inc. €115.3m 2 % · 2 cases
- The Toronto-Dominion Bank €113m 2 % · 1 case
- Xeltox Enterprises Ltd. (Cryptomus) €108.1m 2 % · 1 case
- Crédit Agricole Corporate and Investment Bank (Crédit Agricole CIB) €88.2m 2 % · 1 case
- 300 more€1.56bn
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 | 1 | €23.1m |
| Q2 2025 | 0 | – |
| Q3 2025 | 0 | – |
| Q4 2025 | 0 | – |
| Q1 2026 | 0 | – |
| Q2 2026 | 0 | – |
| Q3 2026 | 0 | – |
| Q4 2026 | 0 | – |
1 case
4 Feb 2025 Deutsche Bank AGBaFin fines Deutsche Bank €23.05m for organisational and recording failings €23.1m
On 4 February 2025 BaFin (German Federal Financial Supervisory Authority) imposed fines totalling 23,050,000 EUR on Deutsche Bank AG: 14.8 million EUR because, following allegations about the sale of currency derivatives in Spain, the bank took too long to investigate and remedy the shortcomings; 4.6 million EUR because its Postbank branch at times did not record telephone conversations relating to client orders; and 3.65 million EUR because Postbank failed to provide account-switching assistance in 53 cases. The fine is final.
Compliance allegations abroad must be investigated and remedied swiftly; slow remediation is itself an organisational breach.
Complying with recording duties in investment services and account-switching assistance
- Authority / court
- Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- § 80 Abs. 1 S. 2 Nr. 1 WpHG; § 130 Abs. 1 OWiG i. V. m. § 83 Abs. 3 S. 1 WpHG; §§ 22, 23 Abs. 1 ZKG
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Employees
- 10,000 or more
- Liability of senior managers
- For the telephone-recording complex, a breach of the duty of supervision (§ 130 OWiG, German Administrative Offences Act) was sanctioned: after the pandemic exemptions expired, monitoring and organisational measures were lacking at times.
- Published
- 4 Mar 2025
- BaFin: Deutsche Bank AG: BaFin setzt Geldbußen fest (04.03.2025) Press release of an authority
- BaFin: Bekanntmachung zur Deutsche Bank AG (Geldbußen 23.050.000 Euro) Official register or notice
Checked against the official source on 2 Oct 2026 · Direct link