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 |
|---|---|---|---|---|---|---|
| 30 Sep 2026 | Moldova | Cristina Dolghi, Director General, SAR "MOLDCARGO" SA (individual (director general of an insurer)) | NBM | Monetary Penalty | MDL 756,250 | official |
| 30 Sep 2026 | Kyrgyzstan | ОсОО «Лекс Финанс» (exchange office (currency exchange bureau)) | NBKR | Licence Action | — | official |
| 29 Sep 2026 | China | 厦门国际银行股份有限公司珠海分行 (joint-stock commercial bank (branch)) | SAFE | Disgorgement / Restitution Monetary Penalty | CNY 3,429,800≈ US$511,636 | official |
| 29 Sep 2026 | Brazil | Rodolfo Turelli (finance director of Reag Capital Holdings S.A.) | CVM | Monetary Penalty | BRL 170,000≈ US$32,565 | official |
| 29 Sep 2026 | Brazil | João Carlos Mansur (chief executive of Reag Capital Holdings S.A.) | CVM | Monetary Penalty | BRL 170,000≈ US$32,565 | official |
| 29 Sep 2026 | Malaysia | Asia Pacific Investment Bank Ltd. (Labuan licensed investment bank) | Labuan FSA | Licence Action | — | official |
| 29 Sep 2026 | Hong Kong | Zhong Hao (individual (responsible officer)) | SFC | Licence Action | — | official |
| 29 Sep 2026 | Hong Kong | Zheng Da International Financial Holding Limited (licensed corporation (Types 2 and 5)) | SFC | Monetary Penalty Formal Reprimand | HKD 7,000,000 | official |
| 29 Sep 2026 | Brazil | Felipe Abi ACL de Miranda (individual) | CVM | Settlement | BRL 1,012,887.14 | official |
| 29 Sep 2026 | Brazil | Anderson Alves de Macedo (individual (administrator of Neo In Construção e Incorporação Ltda.)) | CVM | Monetary Penalty | BRL 1,000,000 | official |
| 29 Sep 2026 | Brazil | Neo In Construção e Incorporação Ltda. (real estate developer (in judicial recovery)) | CVM | Monetary Penalty | BRL 2,000,000 | official |
| 29 Sep 2026 | Switzerland | Julius Bär (bank) | Business Restriction Disgorgement / Restitution | — | official | |
| 29 Sep 2026 | Cyprus | Banque SBA Cyprus (credit institution) | CBC | Monetary Penalty | €750,000 | official |
| 28 Sep 2026 | United States | Zoe Financial, Inc. (investment adviser) | SEC | Settlement Formal Reprimand | US$450,000 | official |
| 28 Sep 2026 | Japan | 株式会社ウェルディッシュ (Welldish Inc.) (listed company (Standard Market, code 2901)) | JPX | Monetary Penalty | JPY 28,800,000≈ US$182,567 | official |
| 28 Sep 2026 | Japan | 株式会社アドバンスクリエイト (Advance Create Co., Ltd.) (listed company (Prime Market, code 8798)) | JPX | Monetary Penalty | JPY 33,600,000≈ US$212,995 | official |
| 28 Sep 2026 | India | Madhukar Dubey & its Proprietorship firm viz. Magnum Industrial Corporation (individual and proprietorship firm) | SEBI | Monetary Penalty | ₹5 lakh≈ US$5,210 | official |
| 26 Sep 2026 | Kyrgyzstan | ОсОО «Консалтинговый центр «Tax Law Audit» (audit organisation) | Financial Market Regulation and Supervision Service under the Ministry of Economy and Commerce of the Kyrgyz Republic | Licence Action | — | official |
| 26 Sep 2026 | Brunei | KPMO Services (employer (business)) | Monetary Penalty Criminal Resolution | BND 3,300 | official | |
| 25 Sep 2026 | Australia | Richard Evans (individual (former chief executive, Big Un Limited)) | ASIC | Criminal Resolution | — | official |
| 25 Sep 2026 | Singapore | Goh Hui Bin (individual (former DBS Bank representative)) | MAS | Prohibition Order | — | official |
| 25 Sep 2026 | India | The Monghyr-Jamui Central Co-operative Bank Limited, Bihar (co-operative bank) | RBI | Monetary Penalty | ₹5 lakh | official |
| 25 Sep 2026 | Romania | TIP TOP FOOD INDUSTRY SRL (private company) | ANSPDCP | Monetary Penalty Remedial Direction | RON 26,236 | official |
| 24 Sep 2026 | United States | Ontario Bancorporation, Inc. (bank holding company (Ontario, Wisconsin)) | FRB | Remedial Direction Business Restriction | — | official |
| 24 Sep 2026 | Saudi Arabia | Allied Cooperative Insurance Group (ACIG) (insurer) | IA | Business Restriction | — | official |
| 24 Sep 2026 | India | Ola Financial Services Private Limited (payment systems entity) | RBI | Monetary Penalty | ₹3.1 lakh | official |
| 24 Sep 2026 | Malta | Trive Financial Services Europe Limited (investment firm) | MFSA | Business Restriction Remedial Direction | — | official |
| 24 Sep 2026 | Indonesia | PT Credit Saison Indonesia Finance (finance company) | Licence Action | — | official | |
| 23 Sep 2026 | Taiwan | Capital Securities Corp. (securities firm) | SFB | Monetary Penalty | TWD 300,000≈ US$9,459 | official |
| 23 Sep 2026 | South Korea | 제니스투자자문(주) (Zenith Investment Advisory Co., Ltd.) (investment advisory company) | Licence Action Monetary Penalty | KRW 1,280,000,000≈ US$941,176 | official | |
| 23 Sep 2026 | South Korea | 신라자산운용(주) (Shilla Asset Management Co., Ltd.) (asset management company) | Licence Action Monetary Penalty | KRW 1,514,000,000≈ US$1,113,235 | official | |
| 23 Sep 2026 | Italy | Cairo Editore (publisher) | Garante per la protezione dei dati personali | Monetary Penalty | €9,380≈ US$10,704 | official |
| 23 Sep 2026 | Hong Kong | Seven Directors of China 21st Century Education Group Limited (Stock Code: 1598) (individuals (current and former directors of a listed issuer)) | HKEX | Prohibition Order Formal Reprimand | — | official |
| 23 Sep 2026 | China | 中国民生银行股份有限公司 (joint-stock commercial bank) | SAFE | Disgorgement / Restitution Monetary Penalty | CNY 5,467,700≈ US$815,211 | official |
| 23 Sep 2026 | China | 中国建设银行股份有限公司 (state-owned commercial bank) | SAFE | Disgorgement / Restitution Monetary Penalty | CNY 15,770,600≈ US$2,351,329 | official |
| 23 Sep 2026 | New Zealand | Manage My Health and Health NZ (health information provider and public health agency) | OPC | Remedial Direction | — | official |
| 23 Sep 2026 | Kyrgyzstan | ОсОО «Башат кейджи» (exchange office (currency exchange bureau)) | NBKR | Licence Action | — | official |
| 22 Sep 2026 | United States | OTC Link LLC (broker-dealer operating an alternative trading system) | SEC | Settlement Formal Reprimand | US$575,000 | official |
| 22 Sep 2026 | Peru | Grupo Coril Sociedad Administradora de Fondos S.A. (mutual fund manager) | Monetary Penalty | PEN 57,910.5≈ US$17,287 | official | |
| 22 Sep 2026 | Netherlands | Credit Suisse (bank (taken over by UBS in 2023)) | Settlement Criminal Resolution | €5,000,000≈ US$5,731,500 | official | |
| 22 Sep 2026 | India | KLM Axiva Finvest Limited (NBFC) | RBI | Monetary Penalty | ₹2.7 lakh | official |
| 22 Sep 2026 | Iceland | Isavia innanlandsflugvellir ehf. (airport operator (data controller)) | Persónuvernd (Icelandic Data Protection Authority) | Formal Reprimand | — | official |
| 22 Sep 2026 | India | Hero Fincorp Limited (NBFC) | RBI | Monetary Penalty | ₹10 lakh | official |
| 21 Sep 2026 | Peru | EAFC Maquisistema S.A. (collective funds administrator (EAFC)) | Formal Reprimand | — | official | |
| 21 Sep 2026 | Croatia | Nadija Vlah (Rijeka), JADROAGENT d.d. (individual) | Hanfa | Formal Reprimand | — | official |
| 18 Sep 2026 | Hong Kong | Lam Chun-yin (individual (former bank relationship manager)) | ICAC | Criminal Resolution Disgorgement / Restitution | — | official |
| 18 Sep 2026 | Denmark | Inpay A/S (e-money institution) | Remedial Direction | — | official | |
| 18 Sep 2026 | China | 深圳半岛城邦房地产开发有限公司 (company (real estate developer)) | SAFE | Monetary Penalty | CNY 16,842,600≈ US$2,514,722 | official |
| 17 Sep 2026 | United Kingdom | Heather Imogen Dunne (individual) | FCA | Prohibition Order Monetary Penalty | £41,230≈ US$55,054 | official |
| 17 Sep 2026 | United Kingdom | Richard Brian Fenech (individual) | FCA | Prohibition Order Monetary Penalty | £16,046≈ US$21,426 | official |