Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe and North America: 756 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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per quarter, by date of decision| Period | Cases | Total |
|---|---|---|
| Q3 2023 | 0 | — |
| Q4 2023 | 1 | €280,000 |
| Q1 2024 | 1 | — |
| Q2 2024 | 0 | — |
| Q3 2024 | 0 | — |
| Q4 2024 | 1 | — |
| Q1 2025 | 0 | — |
| Q2 2025 | 0 | — |
| Q3 2025 | 0 | — |
| Q4 2025 | 2 | €112,865 |
| Q1 2026 | 0 | — |
| Q2 2026 | 1 | €620,000 |
| Q3 2026 | 1 | €453,000 |
7 cases
23 Jun 2026 VARTA AGVARTA: late ad hoc announcement and missing half-yearly financial report €620,000
BaFin imposed fines on the battery manufacturer because it had not disclosed inside information without delay and had not published the half-yearly financial report for the 2024 financial year.
Ad hoc assessments and periodic disclosure require fixed responsibilities and deadline controls so that neither inside information nor mandatory reports are left pending.
- Authority / court
- Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Art. 17 Abs. 1 UAbs. 1 MAR; § 115 Abs. 1 Satz 1 WpHG
- Action
- Fine
- Status of proceedings
- final
- Sector
- Manufacturing and mechanical engineering
- Published
- 1 Jul 2026
- VARTA AG: BaFin setzt Geldbußen fest Decision of an authority
- Bekanntmachung der BaFin zur VARTA AG (Maßnahmenansicht mit Rechtskraftvermerk) Official register or notice
Checked against the official source on 25 Sep 2026 · Direct link
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15 Jul 2026 CalPlus GmbH, Elektronik-Kontor Messtechnik GmbH, TVW Meßtechnik GmbHBundeskartellamt: 453,000 EUR against distributors of test and measuring equipment €453,000
From 2016 to 2022, three distributors of test and measuring equipment coordinated discounts as essential price components and informed each other of customer contacts, usually with a request for "restraint". This was evidenced by more than 400 emails; the proceedings ended in settlements.
Small distributors are liable too: merely asking a competitor to "hold back" with a customer is a prohibited customer allocation agreement.
Email contacts with competitors about customers and discounts
- Authority / court
- Bundeskartellamt
- Area of law
- Competition law · Cartels and collusion
- Legal basis
- § 1 GWB
- Action
- Fine
- Status of proceedings
- final
- Sector
- Manufacturing and mechanical engineering
- Mitigating circumstances
- Settlement; cooperation by Elektronik-Kontor Messtechnik taken into account
- Published
- 15 Jul 2026
- Bundeskartellamt verhängt Bußgelder wegen Preisabsprachen beim Vertrieb von Prüf- und Messgeräten Press release of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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19 Nov 2025 Former managing director in custody: machine tools to Russia via third countries Order
A 55-year-old former managing director from the Tübingen area is alleged to have supplied five machine tools worth around 1.7 million EUR to Russia via various third countries between October 2023 and December 2024. The Stuttgart Local Court (Amtsgericht Stuttgart) issued an arrest warrant and an asset freeze of around 1.5 million EUR; premises searched included a freight forwarder in Duisburg. The investigations by the Stuttgart public prosecutor's office and customs investigation office are ongoing (date = press release).
Machine tools are among the core targets of the Russia sanctions; freight forwarders also come into the focus of customs investigators in cases of diverted shipments.
Recognising circumvention via third countries (freight forwarding, sales)
- Authority / court
- Amtsgericht Stuttgart (Haftbefehl, Vermögensarrest); Staatsanwaltschaft Stuttgart; Zollfahndungsamt Stuttgart
- Area of law
- Sanctions and export control · Breaches of sanctions and embargoes
- Legal basis
- Außenwirtschaftsgesetz i. V. m. Verordnung (EU) Nr. 833/2014
- Action
- Order
- Status of proceedings
- unknown
- Sector
- Manufacturing and mechanical engineering
- Liability of senior managers
- Former managing director in pre-trial detention.
- Published
- 19 Nov 2025
- Zollfahndungsamt Stuttgart: Zoll deckt unerlaubte Ausfuhren von Werkzeugmaschinen nach Russland auf (19.11.2025) Press release of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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12 Nov 2025 Fatal fall of trailer chassis: managing director and safety officer convicted €112,865
In 2018, an employee died on the premises of a company (anonymised in the judgment as ‘D. AG’) when a steel lorry trailer chassis weighing around two tonnes fell while being lifted by crane: an unprotected lifting sling tore on a sharp edge, edge protection was missing, the employees had not been trained to keep out of the danger zone of suspended loads, and requirements imposed by SUVA (the Swiss accident insurance fund) in 2013/2014 had not been implemented. The Swiss Federal Supreme Court (Bundesgericht) upheld the convictions for negligent homicide against the managing director (180 daily rates of 410 CHF, suspended) and the safety officer (180 daily rates of 170 CHF, suspended), totalling 104,400 CHF (6B_521/2025, 6B_523/2025).
In Switzerland, managing directors and safety officers are personally criminally liable for occupational safety if crane work is not organised safely.
No standing under suspended loads
Missing or inadequate training played a role in the decision.
- Authority / court
- Schweizerisches Bundesgericht (Vorinstanz: Kantonsgericht Freiburg, Strafappellationshof)
- Area of law
- Health and safety and employment law · Workplace safety and accidents
- Legal basis
- Art. 117 StGB (fahrlässige Tötung) i. V. m. Sorgfaltspflichten der Arbeitssicherheit
- Action
- Other
- Status of proceedings
- final
- Sector
- Manufacturing and mechanical engineering
- Culpability
- negligent
- Mitigating circumstances
- Monetary penalties imposed on a suspended basis.
- Liability of senior managers
- Managing director and safety officer personally convicted of negligent homicide.
Original amount 104,400 CHF, converted at the ECB reference rate of 12 Nov 2025.
- Bundesgericht, Urteil 6B_521/2025 vom 12.11.2025 Court decision
Checked against the official source on 25 Sep 2026 · Direct link
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7 Nov 2024 Seven years' imprisonment: machine tools for sniper rifles to Russian arms manufacturer Custodial sentence
In 2015, despite the Russia embargo, the 56-year-old managing director of a Baden-Württemberg machine tool company and a Swiss holding company supplied six machine tools with accessories to a Russian arms manufacturer for the series production of sniper rifles, and concealed the recipient and intended use. The 2nd Criminal Division of the Stuttgart Higher Regional Court (Oberlandesgericht Stuttgart, Ref. 2 St 3 BJs 48/22) imposed an aggregate sentence of seven years' imprisonment; around 3 million EUR was confiscated from the holding company and 2.1 million EUR from the defendant (of which 674,000 EUR jointly and severally). Not final.
Embargo breaches with a defence connection are prosecuted as state security cases – even years later and with confiscation from foreign holding companies.
- Authority / court
- Oberlandesgericht Stuttgart, 2. Strafsenat (Az. 2 St 3 BJs 48/22)
- Area of law
- Sanctions and export control · Breaches of sanctions and embargoes
- Legal basis
- §§ 17, 18 Außenwirtschaftsgesetz i. V. m. Beschluss 2014/512/GASP und Verordnung (EU) Nr. 833/2014
- Action
- Custodial sentence
- Status of proceedings
- unknown
- Sector
- Manufacturing and mechanical engineering
- Culpability
- intentional
- Liability of senior managers
- Managing director personally sentenced to seven years' imprisonment.
- Published
- 7 Nov 2024
- OLG Stuttgart, 2. Strafsenat: Angeklagter wegen vier Verstößen gegen das AWG i. V. m. dem Russland-Embargo zu 7 Jahren verurteilt (07.11.2024) Court press release
- Generalbundesanwalt: Anklage wegen mutmaßlicher Verstöße gegen das Außenwirtschaftsgesetz erhoben (13.11.2023) Press release of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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1 Mar 2024 MTU Aero Engines AGMTU Aero Engines: inside information not disclosed without delay overturned
BaFin imposed a fine of 510,000 EUR on the engine manufacturer because it allegedly had not disclosed inside information without delay. Following an objection by the company, the Local Court of Frankfurt am Main (Amtsgericht) discontinued the proceedings on 21 January 2025 pursuant to Section 47 (2) OWiG (German Administrative Offences Act).
Document the ad hoc assessment in such a way that the company can later substantiate its decision on the timing and content of a disclosure.
Ad hoc disclosure: recognising inside information and disclosing it without delay
- Authority / court
- Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Art. 17 Abs. 1 UAbs. 1 MAR
- Action
- Fine
- Status of proceedings
- overturned
- Sector
- Manufacturing and mechanical engineering
- Published
- 20 Mar 2024
Amount in EUR; no ECB reference rate is available for this currency.
- MTU Aero Engines AG: BaFin setzt Geldbuße fest Decision of an authority
- Bekanntmachung der BaFin zur MTU Aero Engines AG (Maßnahmenansicht mit Rechtskraftvermerk) Official register or notice
Checked against the official source on 25 Sep 2026 · Direct link
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7 Dec 2023 KION Group AGKION Group: ad hoc disclosure obligation breached, fine final €280,000
The intralogistics and forklift truck group had not disclosed inside information. BaFin imposed a fine of 280,000 EUR, which has been final since January 2024.
Escalate potential inside information to the ad hoc disclosure committee immediately, not at the next reporting date.
Ad hoc disclosure: recognising inside information and disclosing it without delay
- Authority / court
- Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin)
- Area of law
- Capital markets and financial supervision · Disclosure and reporting obligations
- Legal basis
- Art. 17 Abs. 1 UAbs. 1 MAR
- Action
- Fine
- Status of proceedings
- final
- Sector
- Manufacturing and mechanical engineering
- Published
- 21 Dec 2023
- KION Group AG: BaFin setzt Geldbuße fest Decision of an authority
- Bekanntmachung der BaFin zur KION Group AG (Maßnahmenansicht mit Rechtskraftvermerk) Official register or notice
Checked against the official source on 25 Sep 2026 · Direct link