Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe, North America, Latin America, Asia-Pacific and Middle East: 1,929 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.
Click a bar to drill down one level.
Where?
by regionAll jurisdictions
What for?
by area of lawAll areas of law
Who?
by company- Anonymised companies €1.34bn 24 % · 102 cases
- TD Bank, N.A. und TD Bank USA, N.A. €1.19bn 22 % · 1 case
- HSBC Bank plc €267.5m 5 % · 1 case
- GVA Capital Ltd. €186.3m 3 % · 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
- 343 more€1.79bn
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 | 0 | – |
| Q4 2025 | 1 | €1.19m |
| Q1 2026 | 0 | – |
| Q2 2026 | 0 | – |
| Q3 2026 | 0 | – |
| Q4 2026 | 0 | – |
1 case
11 Dec 2025 EFG Bank AGSFC: reprimand and HKD 10.85m fine for EFG Bank over deficient product due diligence €1.19m
The SFC publicly reprimanded EFG Bank AG and fined it HKD 10,850,000 because, between January 2015 and December 2020, the bank failed to take special product features into account in its due diligence on 322 bonds, updated its policies late after the complex product regime took effect and in some cases served customers without the required information and warning statements. In addition, due diligence records were missing for 141 bonds, and the bank did not report the failures to the SFC immediately. The bank will apply an enhanced complaint handling procedure for customers who acquired one of 351 potentially affected products.
Firms distributing complex products must document their product due diligence in full, update policies immediately when rules change and report identified failures to the regulator without delay.
Product due diligence and customer information when distributing complex investment products
- Authority / court
- Securities and Futures Commission (SFC), Hongkong
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Section 196 Securities and Futures Ordinance (Cap. 571); Code of Conduct for Persons Licensed by or Registered with the SFC; Management, Supervision and Internal Control Guidelines
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Mitigating circumstances
- Remedial measures on product due diligence, cooperation with the HKMA and the SFC, and commitment to an enhanced complaint handling procedure for affected customers.
- Published
- 11 Dec 2025
Original amount 10,850,000 HKD, converted at the ECB reference rate of 11 Dec 2025.
- SFC reprimands and fines EFG Bank AG $10.85 million for regulatory breaches and internal control failures (25PR205) Press release of an authority
- Statement of Disciplinary Action – EFG Bank AG Decision of an authority
Checked against the official source on 3 Oct 2026 · Direct link