Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe, North America, Latin America and Asia-Pacific: 1,905 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 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
- 325 more€1.73bn
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 | 0 | – |
| Q1 2026 | 0 | – |
| Q2 2026 | 0 | – |
| Q3 2026 | 1 | €4.47m |
| Q4 2026 | 0 | – |
1 case
11 Aug 2026 Fiducian Investment Management Services LimitedFiducian: 7.3 million AUD for misleading ESG claims about an ethical fund €4.47m
The Supreme Court of New South Wales, on application by the Australian Securities and Investments Commission (ASIC, Australia's corporate, markets and financial services regulator), imposed penalties totalling 7.3 million AUD on the fund manager: 2.3 million AUD for misleading statements (s 12DF ASIC Act) and 5 million AUD for breaching its duty of care and diligence as responsible entity (s 601FC(1)(b) Corporations Act). Between October 2019 and May 2024 the Diversified Social Aspirations Fund, marketed as socially responsible, held through underlying funds interests in companies that derived revenue from fossil fuels, among others, even though the product documents promised certain exclusions and ongoing monitoring; the company did not respond to investor concerns by amending its statements.
A fund's sustainability promises require ongoing checks of its actual holdings; where they diverge, either the holdings or the statements must be changed.
Substantiating ESG and ethical claims in product documents and fund marketing
Missing or inadequate training played a role in the decision.
- Authority / court
- Supreme Court of New South Wales (auf Antrag der Australian Securities and Investments Commission, ASIC)
- Area of law
- Environment and sustainability · Misleading environmental and sustainability claims
- Legal basis
- ASIC Act 2001 (Cth) s 12DF (Geldbuße nach s 12GBB); Corporations Act 2001 (Cth) s 601FC(1)(b) (Geldbuße nach s 1317G)
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Culpability
- negligent
- Repeat case
- no
- Mitigating circumstances
- Admissions, cooperation throughout the proceedings and contrition; since the proceedings began, an independent review of the product documents; no previous court findings.
- Liability of senior managers
- According to the agreed facts, senior management was involved (the company's then Executive Chair and Head of Investments).
- Published
- 12 Aug 2026
Original amount 7,300,000 AUD, converted at the ECB reference rate of 11 Aug 2026.
- Supreme Court of NSW – In the matter of Fiducian Investment Management Services Pty Ltd [2026] NSWSC 959 (Decision date 11.08.2026) Court decision
- ASIC 26-191MR – Court orders Fiducian Investment Management Services to pay $7.3 million penalty over operation of ESG fund (12.08.2026) Press release of an authority
Checked against the official source on 3 Oct 2026 · Direct link