Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe, North America, Latin America, Asia-Pacific, Middle East and Africa: 2,033 cases from 44 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 €1.33bn 23 % · 100 cases
- TD Bank, N.A. und TD Bank USA, N.A. €1.19bn 21 % · 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
- KB Kookmin Bank, Shinhan Bank, Woori Bank, Hana Bank €158.2m 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
- 375 more€1.97bn
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 | 1 | €26,855 |
| Q3 2026 | 0 | – |
| Q4 2026 | 0 | – |
1 case
18 May 2026 Havenport Investments Pte LtdMAS: composition fine for Havenport Investments €26,855
The fund manager Havenport Investments Pte Ltd lacked an adequate framework for managing the risks of the assets under its management, breached its base capital requirement without reporting this to the Monetary Authority of Singapore (MAS, Singapore's central bank and financial regulator), and violated conditions of its Capital Markets Services Licence requiring prior approval for a new product and personalised advice from independent financial advisers for retail investors before onboarding. MAS allegedly imposed a composition fine of SGD 40,000; the company has ceased its retail fund management business and has not been allowed to manage retail investors' money since 18 July 2024. The amount and the facts have not been confirmed against the primary source.
Licence conditions and capital requirements belong in ongoing compliance monitoring by senior management; any shortfall must be reported immediately.
Senior management duties regarding licence conditions, capital requirements and reporting to the regulator
- Authority / court
- Monetary Authority of Singapore (MAS)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Securities and Futures Act (SFA) und zugehörige Regulations; Auflagen der Capital Markets Services Licence
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Liability of senior managers
- Measures against individuals are not set out here.
- Published
- 18 May 2026
Original amount 40,000 SGD, converted at the ECB reference rate of 18 May 2026.
- MAS: Enforcement Action against Havenport Investments Pte Ltd for Breaches of MAS Regulations (18.05.2026) Press release of an authority
- MAS: Enforcement Actions (Verzeichnis, Eintrag 18.05.2026) Enforcement database of an authority
Checked against the official source on 4 Oct 2026 · Direct link