Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe, North America, Latin America, Asia-Pacific and Middle East: 1,929 cases from 40 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 24 % · 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
- 343 more€1.79bn
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 | 1 | €968,909 |
| Q2 2026 | 0 | – |
| Q3 2026 | 0 | – |
| Q4 2026 | 0 | – |
1 case
9 Feb 2026 Kylin International (HK) Co., LimitedSFC: HKD 9m fine for Kylin International over fund management failures €968,909
The SFC publicly reprimanded Kylin International (HK) and fined it HKD 9 million for failures as investment manager or consultant of six sub-funds of a Cayman Islands fund from August 2018. The SFC found that conflicts of interest arising from six loans by the firm or a director to four sub-funds were neither managed nor disclosed, reconciliations, valuations and audits were missing, investors were wrongly told that the suitability requirement did not apply, KYC and suitability controls were inadequate and anti-money laundering records were missing. The firm ceased its regulated activities at the end of 2023; its licence was revoked at its request in January 2025.
Loans from a manager or its senior management to funds under management are a conflict of interest that must be managed and disclosed to investors.
Conflicts of interest and investor information in private fund management
- Authority / court
- Securities and Futures Commission (SFC), Hongkong
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Section 194 Securities and Futures Ordinance (Cap. 571)
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Repeat case
- no
- Mitigating circumstances
- Remedial measures after an SFC review in late 2020, cessation of regulated activities and an otherwise clean disciplinary record.
- Liability of senior managers
- Measures against individuals are not set out here.
- Published
- 9 Feb 2026
Original amount 9,000,000 HKD, converted at the ECB reference rate of 9 Feb 2026.
- SFC reprimands and fines Kylin International (HK) Co., Limited $9 million for fund management failures (26PR19) Press release of an authority
- Statement of Disciplinary Action – Kylin International (HK) Co., Limited Decision of an authority
Checked against the official source on 3 Oct 2026 · Direct link