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 | 1 | €1.7m |
| Q1 2025 | 0 | – |
| Q2 2025 | 0 | – |
| Q3 2025 | 0 | – |
| Q4 2025 | 0 | – |
| Q1 2026 | 0 | – |
| Q2 2026 | 0 | – |
| Q3 2026 | 0 | – |
| Q4 2026 | 0 | – |
1 case
2 Dec 2024 JPMorgan Chase Bank, N.A.MAS: SGD 2.4m civil penalty on JPMorgan over excessive bond spreads €1.7m
Relationship managers at JPMorgan Chase Bank, N.A. misrepresented or incompletely disclosed price components in 24 over-the-counter bond transactions between November 2018 and September 2019, so that clients paid spreads above those agreed (in breach of s 201(c) and (d) SFA, the Securities and Futures Act). The bank admitted liability under s 236C SFA because, lacking adequate processes and controls, it had neither prevented nor detected the misconduct; it allegedly paid the Monetary Authority of Singapore (MAS, Singapore's central bank and financial regulator) a civil penalty of SGD 2.4 million and refunded the overcharged fees to clients. The amount and the facts have not been confirmed against the primary source.
A firm that gives relationship managers discretion over pricing must systematically check compliance with agreed terms – otherwise the institution is liable for their misconduct.
Accurate and complete disclosure of prices and spreads to clients
- Authority / court
- Monetary Authority of Singapore (MAS)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- ss 201(c), 201(d), 232 und 236C Securities and Futures Act (SFA)
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Employees
- 10,000 or more
- Culpability
- negligent
- Published
- 2 Dec 2024
Original amount 2,400,000 SGD, converted at the ECB reference rate of 2 Dec 2024.
- MAS: MAS Imposes Civil Penalty of $2.4 Million on JPMorgan Chase Bank, N.A. for Misconduct by its Relationship Managers (02.12.2024) Press release of an authority
- MAS: Enforcement Actions (Verzeichnis, Eintrag 02.12.2024, Action Type Civil Penalty) Enforcement database of an authority
Checked against the official source on 4 Oct 2026 · Direct link