Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe and North America: 1,370 cases from 35 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 €1.22bn 44 % · 79 cases
- GVA Capital Ltd. €186.3m 7 % · 1 case
- The Toronto-Dominion Bank €113m 4 % · 1 case
- UBS Financial Services Inc. €108.4m 4 % · 1 case
- Xeltox Enterprises Ltd. (Cryptomus) €108.1m 4 % · 1 case
- Two Sigma Investments LP und Two Sigma Advisers LP €87.6m 3 % · 1 case
- FleetCor Technologies Inc. (heute Corpay Inc.) €87.1m 3 % · 1 case
- Canaccord Genuity LLC €69.2m 2 % · 1 case
- J.P. Morgan SE €57.2m 2 % · 2 cases
- Nationwide Building Society €50.4m 2 % · 1 case
- 206 more€697.4m
When?
per quarter, by date of decision| Period | Cases | Total |
|---|---|---|
| Q3 2023 | 0 | — |
| Q4 2023 | 0 | — |
| Q1 2024 | 0 | — |
| Q2 2024 | 0 | — |
| Q3 2024 | 0 | — |
| Q4 2024 | 1 | €80,026 |
| Q1 2025 | 0 | — |
| Q2 2025 | 0 | — |
| Q3 2025 | 0 | — |
| Q4 2025 | 0 | — |
| Q1 2026 | 0 | — |
| Q2 2026 | 0 | — |
| Q3 2026 | 0 | — |
1 case
16 Dec 2024 Finanzdienstleister (anonymisiert)Liechtenstein: CHF 75,000 fine for breaching Article 16(2) MAR €80,026
The Finanzmarktaufsicht (FMA, Liechtenstein Financial Market Authority) fined an unnamed legal person CHF 75,000 for breaching the obligations under Article 16(2) of the Market Abuse Regulation (EU) No 596/2014. The provision requires persons professionally arranging or executing transactions to maintain effective arrangements, systems and procedures to detect and report suspicious orders and transactions.
Anyone who professionally arranges or executes securities transactions needs working surveillance systems and clear procedures for reporting suspected market abuse.
Detecting and reporting suspicious orders and transactions (market abuse)
- Authority / court
- Finanzmarktaufsicht Liechtenstein (FMA)
- Area of law
- Capital markets and financial supervision · Market abuse and insider dealing
- Legal basis
- Art. 16 Abs. 2 Verordnung (EU) Nr. 596/2014 (Marktmissbrauchsverordnung) i.V.m. Art. 10 Abs. 1 Bst. b EWR-Marktmissbrauchsverordnung-Durchführungsgesetz (EWR-MDG)
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
Original amount 75,000 CHF, converted at the ECB reference rate of 16 Dec 2024.
- FMA Liechtenstein: Enforcement und Sanktionen – anonymisiert veröffentlichte Sanktionen (Eintrag 16. Dezember 2024, CHF 75 000) Enforcement database of an authority
Checked against the official source on 28 Sep 2026 · Direct link