Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe and North America: 718 cases from 32 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- The Toronto-Dominion Bank €113m 11 % · 1 case
- UBS Financial Services Inc. €108.4m 10 % · 1 case
- Xeltox Enterprises Ltd. (Cryptomus) €108.1m 10 % · 1 case
- Two Sigma Investments LP und Two Sigma Advisers LP €87.6m 8 % · 1 case
- FleetCor Technologies Inc. (heute Corpay Inc.) €87.1m 8 % · 1 case
- Canaccord Genuity LLC €69.2m 7 % · 1 case
- Nationwide Building Society €50.4m 5 % · 1 case
- J.P. Morgan SE €45m 4 % · 1 case
- BMO Capital Markets Corp. €39.9m 4 % · 1 case
- Block, Inc. €36.1m 3 % · 1 case
- 119 more€304.2m
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 | €16.2m |
| Q1 2025 | 0 | — |
| Q2 2025 | 0 | — |
| Q3 2025 | 0 | — |
| Q4 2025 | 0 | — |
| Q1 2026 | 0 | — |
| Q2 2026 | 0 | — |
| Q3 2026 | 0 | — |
1 case
8 Nov 2024 Invesco Advisers, Inc.Invesco Advisers: 17.5 million USD for inflated ESG integration percentages €16.2m
From 2020 to 2022, Invesco told clients that 70 to 94 per cent of the parent company's assets under management were ‘ESG integrated’, but counted passive ETFs that did not take ESG into account and had no written definition of ESG integration. The U.S. Securities and Exchange Commission (SEC) imposed 17.5 million USD, a censure and a cease-and-desist order.
Sustainability metrics used in sales need a written definition and a traceable calculation.
Verifiable metrics in ESG marketing
- Authority / court
- U.S. Securities and Exchange Commission (SEC)
- Area of law
- Environment and sustainability · Misleading environmental and sustainability claims
- Legal basis
- Investment Advisers Act of 1940
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Culpability
- intentional
- Published
- 8 Nov 2024
Original amount 17,500,000 USD, converted at the ECB reference rate of 8 Nov 2024.
- SEC Charges Invesco Advisers for Making Misleading Statements About Supposed Investment Considerations Press release of an authority
Checked against the official source on 25 Sep 2026 · Direct link