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: 2,207 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 €5.37bn 63 % · 260 cases
- HSBC Bank plc €267.5m 3 % · 1 case
- GVA Capital Ltd. €186.3m 2 % · 1 case
- Union Standard International Group Pty Ltd; Maxi EFX Global AU Pty Ltd (EuropeFX); BrightAU Capital Pty Ltd (TradeFred) €182.1m 2 % · 1 case
- KB Kookmin Bank, Shinhan Bank, Woori Bank, Hana Bank €158.2m 2 % · 1 case
- Royal Bank of Canada, Morgan Stanley, HSBC u. a. (5 Banken; Deutsche Bank als Kronzeugin bußgeldfrei) €126.2m 1 % · 1 case
- UBS Financial Services Inc. €115.3m 1 % · 2 cases
- Xeltox Enterprises Ltd. (Cryptomus) €108.1m 1 % · 1 case
- Crédit Agricole Corporate and Investment Bank (Crédit Agricole CIB) €88.2m 1 % · 1 case
- Two Sigma Investments LP und Two Sigma Advisers LP €87.6m 1 % · 1 case
- 370 more€1.77bn
When?
per year, by date of decision| Period | Cases | Total |
|---|---|---|
| 2026 | 2 | €115.3m |
2 cases
3 Aug 2026 UBS Financial Services Inc.FinCEN: 125 million USD against UBS Financial Services as a repeat offender €108.4m
The US Financial Crimes Enforcement Network (FinCEN) imposed 125 million USD on the broker-dealer – the highest BSA penalty against a broker-dealer to date. UBSFS admitted wilful infringements: the AML programme was inadequate, more than 50,000 foreign currency transfers totalling more than 10 billion USD were not adequately monitored and suspicious activity reports were not filed; it is already the second enforcement action after 2018.
Monitoring gaps left unremedied after an earlier enforcement action lead, the second time round, to a multiple of the original penalty.
- Authority / court
- Financial Crimes Enforcement Network (FinCEN)
- Area of law
- Money laundering and terrorist financing · Internal controls
- Legal basis
- Bank Secrecy Act (BSA)
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Employees
- 10,000 or more
- Culpability
- intentional
- Repeat case
- yes
- Mitigating circumstances
- Up to 15 million USD (remaining amount due by 31 May 2028) may be waived to the extent that UBSFS bears the costs of the independent review of its AML programme and implements its recommendations
- Published
- 3 Aug 2026
Original amount 125,000,000 USD, converted at the ECB reference rate of 3 Aug 2026.
- FinCEN Assesses Historic $125 Million Penalty Against UBS Financial Services Inc. for Recidivist BSA Violations Press release of an authority
- FinCEN Consent Order Imposing Civil Money Penalty – UBS Financial Services Inc. (Number 2026-02) Decision of an authority
- FinCEN Enforcement Actions Enforcement database of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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31 Jul 2026 UBS Financial Services Inc.UBS Financial Services: 8 million USD over gaps in anti-money laundering monitoring €6.97m
The CFTC fined the futures commission merchant 8 million USD for failing to supervise diligently the configuration and operation of its anti-money laundering transaction monitoring. From January 2019 to June 2023, thousands of foreign currency wire transfers through retail customers' commodity accounts were insufficiently monitored or not monitored at all: first because of an incomplete manual report which UBS, contrary to commitments made in earlier proceedings in 2018, replaced only more than two years later, and then because of incorrectly fed data in the new automated system. FinCEN, the SEC and FINRA announced their own settlements with UBS Financial Services at the same time. The authority allegedly made the findings set out here; this account is not based on a final judgment.
Commitments made in earlier supervisory proceedings must be implemented on time, and new monitoring systems must be tested for complete data feeds before going live.
- Authority / court
- U.S. Commodity Futures Trading Commission (CFTC)
- Area of law
- Capital markets and financial supervision · Organisational requirements
- Legal basis
- CFTC Regulation 166.3 (17 C.F.R. § 166.3)
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Repeat case
- yes
- Mitigating circumstances
- The CFTC recognised the remediation described; according to the order, the core problems of the automated system had been fixed by the fourth quarter of 2022.
- Published
- 3 Aug 2026
Original amount 8,000,000 USD, converted at the ECB reference rate of 31 Jul 2026.
- CFTC Release No. 9277-26: CFTC Orders UBS Financial Services Inc. to Pay $8 Million for Supervision Failures Impacting Its AML Transaction Monitoring Systems (03.08.2026) Press release of an authority
- CFTC Docket No. 26-04, In the Matter of UBS Financial Services Inc., Order Instituting Proceedings (31.07.2026) Decision of an authority
Checked against the official source on 3 Oct 2026 · Direct link