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 | 0 | — |
| Q1 2025 | 0 | — |
| Q2 2025 | 0 | — |
| Q3 2025 | 0 | — |
| Q4 2025 | 0 | — |
| Q1 2026 | 0 | — |
| Q2 2026 | 0 | — |
| Q3 2026 | 1 | €501,614 |
1 case
22 Sep 2026 OTC Link LLCOTC Link: 575,000 USD – security policies never completed despite examination findings €501,614
From 2016 to 2025, the operator of the OTC Link ATS trading system lacked complete policies on systems security, access control and vulnerability management as required under Regulation SCI. Although the examiners of the U.S. Securities and Exchange Commission (SEC) had criticised the gaps in several examinations, drafts remained unfinished; the SEC issued a censure and imposed 575,000 USD.
Track supervisory examination findings with a deadline and a responsible person – points that remain open repeatedly become expensive.
- Authority / court
- U.S. Securities and Exchange Commission (SEC)
- Area of law
- Information security and cyber · Critical infrastructure
- Legal basis
- Regulation SCI, Rule 1001(a)(1)–(3)
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Repeat case
- yes
Original amount 575,000 USD, converted at the ECB reference rate of 22 Sep 2026.
- SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI (22.09.2026) Press release of an authority
Checked against the official source on 25 Sep 2026 · Direct link