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 | 1 | €39,713 |
| Q3 2025 | 0 | – |
| Q4 2025 | 0 | – |
| Q1 2026 | 0 | – |
| Q2 2026 | 0 | – |
| Q3 2026 | 0 | – |
| Q4 2026 | 0 | – |
1 case
8 Apr 2025 Regen Serviços Fiduciários Ltda.Regen Serviços Fiduciários: BRL 255,000 CVM fine over incorrect liquidity data €39,713
The CVM ordered Regen Serviços Fiduciários Ltda. to pay a fine of BRL 255,000.00 because its internal controls failed and it repeatedly submitted incorrect information to the authority on the liquidity of the investment funds it administered (Art. 19 Instrução CVM 558 until 30 June 2021, thereafter Art. 22 Resolução CVM 21). The company had not submitted a defence; an appeal with suspensive effect to the CRSFN was available against the decision.
Regulatory reports on fund liquidity need their own plausibility checks; repeated errors count as an organisational failure.
- Authority / court
- Comissão de Valores Mobiliários (CVM)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- Instrução CVM 558/2015, Art. 19; Resolução CVM 21/2021, Art. 22
- Action
- Fine
- Status of proceedings
- unknown
- Sector
- Financial services and insurance
- Published
- 8 Apr 2025
Original amount 255,000 BRL, converted at the ECB reference rate of 8 Apr 2025.
- CVM – CVM multa em R$ 255 mil administrador fiduciário por falhas em controles internos (PAS 19957.011992/2023-24) Press release of an authority
- CVM – PAS 19957.011992/2023-24, Voto da Diretora-Relatora (8.4.2025) Decision of an authority
Checked against the official source on 3 Oct 2026 · Direct link