Global enforcement tracker
301 actions from the last 90 days. Create a free account for the full history, filters and sorting.
Breakdown
- Monetary Penalty141
- Remedial Direction48
- Licence Action44
- Prohibition Order36
- Formal Reprimand32
- Settlement29
- Business Restriction29
- Disgorgement / Restitution16
- Criminal Resolution10
- Type not recorded1
An action with two types is counted under each type; the total counts each action once.
- Regulator not listed40
- Central Bank of the Russian Federation (Bank of Russia) (RU)26
- RBI (IN)17
- NBKR (KG)9
- CVM (BR)8
- SFB (TW)8
- FCA (GB)8
- SAFE (CN)7
- 69 other regulators178
Over time
View chart data as a table
| Month | Actions | Penalty (USD-equiv) |
|---|---|---|
| Aug 2026 | 73 | US$9,793,281 |
| Sep 2026 | 131 | US$32,573,730 |
| Oct 2026 | 97 | US$1,228,848,526.05 |
| Nov 2026 | 0 | US$0 |
| Date | Country | Entity | Regulator | Action | Penalty | Source |
|---|---|---|---|---|---|---|
| 28 Oct 2026 | South Korea | 의료법인 영훈의료재단 (Younghoon Medical Foundation, Daejeon Sun Hospital and Yuseong Sun Hospital) (hospital operator) | PIPC | Monetary Penalty Remedial Direction | KRW 630,000,000≈ US$475,723 | official |
| 28 Oct 2026 | South Korea | 주식회사 대교 (Daekyo Co., Ltd.) (education services company) | PIPC | Monetary Penalty Remedial Direction | KRW 3,255,000,000≈ US$2,457,902 | official |
| 28 Oct 2026 | Norway | Unnamed estate agent (megler; name not published) - licence revoked (estate agent (individual)) | Finanstilsynet (Financial Supervisory Authority of Norway) | Licence Action | — | official |
| 27 Oct 2026 | Russia | Общество с ограниченной ответственностью Микрокредитная компания «АБЛ-Финанс» (ООО МКК «АБЛ-Финанс») (microfinance company) | Central Bank of the Russian Federation (Bank of Russia) | Licence Action | — | official |
| 23 Oct 2026 | Poland | Allied Funds Towarzystwo Funduszy Inwestycyjnych SA (investment fund company (TFI)) | KNF | Settlement | PLN 50,000≈ US$12,740 | official |
| 23 Oct 2026 | Poland | Towarzystwo Funduszy Inwestycyjnych Agro SA (investment fund company (TFI)) | KNF | Monetary Penalty | PLN 250,000≈ US$63,699 | official |
| 23 Oct 2026 | Poland | Compensa Towarzystwo Ubezpieczeń Spółka Akcyjna Vienna Insurance Group (insurer) | KNF | Monetary Penalty | PLN 5,000,000≈ US$1,273,983 | official |
| 23 Oct 2026 | Japan | 株式会社BlueMeme (BlueMeme Inc.) (listed company (Growth Market, code 4069)) | JPX | Monetary Penalty | JPY 9,600,000≈ US$61,361 | official |
| 22 Oct 2026 | Russia | Общество с ограниченной ответственностью Небанковская кредитная организация «Тайдон» (ООО НКО «Тайдон») (non-bank credit institution) | Central Bank of the Russian Federation (Bank of Russia) | Licence Action | — | official |
| 21 Oct 2026 | South Korea | 해태제과식품㈜ (Haitai Confectionery & Foods Co., Ltd.) (food manufacturer) | Monetary Penalty | KRW 937,800,000≈ US$706,175 | official | |
| 21 Oct 2026 | Russia | ООО «КИНЕТИК КАПИТАЛ» (limited liability company) | Central Bank of the Russian Federation (Bank of Russia) | Remedial Direction | — | official |
| 21 Oct 2026 | Russia | Наумов Владимир Валерьевич (individual (senior equity trader at an investment company)) | Central Bank of the Russian Federation (Bank of Russia) | Remedial Direction | — | official |
| 21 Oct 2026 | United States | Michael B. DePetrillo, Meteor LLC and NOLA FX Capital Management LLC (individual and companies (retail forex)) | CFTC | Prohibition Order Monetary Penalty | US$9,211,492 | official |
| 20 Oct 2026 | Nigeria | Williams Oluwole (individual (former Principal Stock Verifier, Federal Ministry of Health)) | ICPC | Criminal Resolution | — | official |
| 19 Oct 2026 | Russia | Кредитный потребительский кооператив «Касса взаимного кредита» (credit consumer cooperative) | Central Bank of the Russian Federation (Bank of Russia) | Licence Action | — | official |
| 19 Oct 2026 | India | Puducherry Co-operative Urban Bank Ltd (co-operative bank) | RBI | Business Restriction | — | official |
| 19 Oct 2026 | United States | Eddy Alexandre and EminiFX Inc. (individual and company (investment club)) | CFTC | Disgorgement / Restitution Monetary Penalty | US$45,148,500 | official |
| 16 Oct 2026 | Russia | Соломахин Вадим Альбертович (individual (general director and beneficial owner of a securities market professional participant)) | Central Bank of the Russian Federation (Bank of Russia) | Business Restriction Remedial Direction | — | official |
| 16 Oct 2026 | Romania | MYCONNECTOR PLATFORM SRL (private company) | ANSPDCP | Monetary Penalty Remedial Direction | RON 31,451 | official |
| 15 Oct 2026 | Thailand | Mr. Tawee Aroonpornwong (individual) | SEC | Prohibition Order Settlement | THB 2,942,292.38≈ US$87,722 | official |
| 15 Oct 2026 | Thailand | Mr. Susitak Achariyasombat (individual) | SEC | Prohibition Order Settlement | THB 5,181,490.13≈ US$154,482 | official |
| 15 Oct 2026 | Australia | Kyle Clifford Frost (individual (licensed financial adviser)) | ASIC | Licence Action | — | official |
| 15 Oct 2026 | United Arab Emirates | Hayman-Woodward Global Mobility Services (DIFC) Ltd. (company service provider) | DFSA | Disgorgement / Restitution Settlement | US$454,367.05 | official |
| 15 Oct 2026 | Germany | Nomura Holdings Inc. (company) | BaFin | Monetary Penalty | €320,000 | official |
| 15 Oct 2026 | Nepal | दिपक पुन मगर (Dipak Pun Magar) (individual) | CIAA | Monetary Penalty | not a monetary penalty | official |
| 14 Oct 2026 | Singapore | Sir Money Changer Pte Ltd (major payment institution) | MAS | Licence Action | — | official |
| 14 Oct 2026 | Indonesia | Iwan Margana (individual (President Director, PT Pratama Capital Assets Management)) | Licence Action Prohibition Order | — | official | |
| 14 Oct 2026 | Indonesia | PT Pratama Capital Assets Management (investment manager (securities company)) | Licence Action | — | official | |
| 14 Oct 2026 | Denmark | Kreditbanken A/S (commercial bank) | Remedial Direction | — | official | |
| 13 Oct 2026 | Hong Kong | RMH Holdings Limited (Stock Code: 8437) and Six Former Directors (GEM-listed issuer and six former directors) | HKEX | Formal Reprimand Remedial Direction | — | official |
| 13 Oct 2026 | China | 中信银行股份有限公司 (joint-stock commercial bank) | SAFE | Disgorgement / Restitution Monetary Penalty | CNY 5,920,600≈ US$884,398 | official |
| 13 Oct 2026 | China | 华夏银行股份有限公司 (joint-stock commercial bank) | SAFE | Disgorgement / Restitution Monetary Penalty | CNY 10,504,700≈ US$1,569,154 | official |
| 13 Oct 2026 | United States | Bank of America, N.A. (national bank) | OCC | Settlement | US$750,000,000 | official |
| 13 Oct 2026 | United States | Bank of America, N.A. (commercial bank) | OFAC | Settlement | US$11,662,930 | official |
| 12 Oct 2026 | Russia | КПК «ЛАЙФФИНАНС» (credit consumer cooperative) | Central Bank of the Russian Federation (Bank of Russia) | Licence Action | — | official |
| 12 Oct 2026 | Sweden | AIFM Capital AB (fund management company (UCITS management company and AIFM)) | FI | Monetary Penalty Formal Reprimand | SEK 2,000,000 | official |
| 12 Oct 2026 | Oman | Thara Global Business LLC (securities sector company) | FSA | Licence Action | — | official |
| 12 Oct 2026 | Croatia | GENERALI OSIGURANJE d.d., Zagreb (insurer) | Hanfa | Remedial Direction | — | official |
| 12 Oct 2026 | Croatia | ČATEKS d.d., Čakovec (listed company) | Hanfa | Formal Reprimand | — | official |
| 12 Oct 2026 | Austria | Natural person (not named): business partner of an issuer (individual) | FMA | Monetary Penalty | €5,000 | official |
| 9 Oct 2026 | United States | Jefferies LLC (broker-dealer) | SEC | Settlement Formal Reprimand | US$650,000 | official |
| 9 Oct 2026 | United Arab Emirates | Ms Saranga Omprakash Lalwani (individual (registered audit principal)) | ADGM RA | Monetary Penalty | US$35,000 | official |
| 9 Oct 2026 | United Arab Emirates | PKF Accountants and Business Advisers LLP (ADGM-registered audit firm) | ADGM RA | Monetary Penalty | US$65,000 | official |
| 9 Oct 2026 | Russia | КПК «ДЕЛО И ДЕНЬГИ» (credit consumer cooperative) | Central Bank of the Russian Federation (Bank of Russia) | Licence Action | — | official |
| 9 Oct 2026 | United States | Pegasus Worldwide Logistics (freight forwarder) | OFAC | Settlement | US$175,015 | official |
| 9 Oct 2026 | Japan | プルデンシャル・ホールディング・オブ・ジャパン株式会社 (Prudential Holding of Japan Co., Ltd.) (insurance holding company) | FSA | Remedial Direction | — | official |
| 9 Oct 2026 | Japan | ジブラルタ生命保険株式会社 (Gibraltar Life Insurance Co., Ltd.) (life insurer) | FSA | Business Restriction Remedial Direction | — | official |
| 9 Oct 2026 | Japan | プルデンシャル生命保険株式会社 (Prudential Life Insurance Co., Ltd.) (life insurer) | FSA | Business Restriction Remedial Direction | — | official |
| 9 Oct 2026 | Georgia | Virtual Asset Service Provider "BITEXCHANGE" LLC (I.N. 404595121) (virtual asset service provider) | NBG | Monetary Penalty | GEL 572,118,000 | official |
| 8 Oct 2026 | United Kingdom | Deloitte LLP (audit firm) | FRC | Settlement Formal Reprimand | £6,050,000≈ US$8,001,730 | official |