Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe, North America and Asia-Pacific: 1,838 cases from 37 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.
Click a bar to drill down one level.
Where?
by regionAll jurisdictions
What for?
by area of lawAll areas of law
Who?
by company- Anonymised companies €1.34bn 25 % · 102 cases
- TD Bank, N.A. und TD Bank USA, N.A. €1.19bn 23 % · 1 case
- HSBC Bank plc €267.5m 5 % · 1 case
- GVA Capital Ltd. €186.3m 4 % · 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
- 298 more€1.56bn
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 | €1.19bn |
| 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
10 Oct 2024 TD Bank, N.A. und TD Bank USA, N.A.FinCEN: record USD 1.3 billion penalty against TD Bank for AML programme failures €1.19bn
FinCEN imposed a civil money penalty of USD 1.3 billion on TD Bank, N.A. and TD Bank USA, N.A. because, from at least 2012 to May 2024, the bank did not maintain an adequate anti-money laundering programme and did not file suspicious activity reports (SARs) and currency transaction reports (CTRs) accurately and on time; during the review backlogs, more than 6,000 SARs, among others, were not filed on time. Payments of USD 543 million to the DOJ and the OCC are credited against the penalty, leaving USD 757 million payable to the US Treasury. The bank must also appoint an independent compliance monitor. The authority allegedly made the findings set out here; this account is not based on a final judgment.
An AML programme must grow with the business in staff, technology and monitoring scenarios; tolerated alert backlogs are treated as wilful violations.
Anti-money laundering: transaction monitoring, suspicious activity reporting and adequate compliance resources
Missing or inadequate training played a role in the decision.
- Authority / court
- Financial Crimes Enforcement Network (FinCEN), U.S. Department of the Treasury
- Area of law
- Money laundering and terrorist financing · Internal controls
- Legal basis
- 31 U.S.C. § 5318(h)(1), § 5318(g), § 5313; 31 C.F.R. §§ 1020.210(a), 1020.320, 1010.311; Sanktion nach 31 U.S.C. § 5321(a)
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Employees
- 10,000 or more
- Repeat case
- yes
- Liability of senior managers
- An independent monitor oversees a review of the accountability of current and former employees involved and recommends, among other things, disciplinary measures and the clawback of compensation.
- Published
- 10 Oct 2024
Original amount 1,300,000,000 USD, converted at the ECB reference rate of 10 Oct 2024.
- FinCEN, Consent Order Imposing Civil Money Penalty, In the Matter of TD Bank, N.A. and TD Bank USA, N.A., Number 2024-02 Decision of an authority
- FinCEN Assesses Record $1.3 Billion Penalty against TD Bank Press release of an authority
- FinCEN Enforcement Actions Enforcement database of an authority
Checked against the official source on 3 Oct 2026 · Direct link