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 |
|---|---|---|---|---|---|---|
| 26 Aug 2026 | South Korea | HD건설기계㈜ (HD Construction Equipment) (construction machinery manufacturer) | PIPC | Monetary Penalty | KRW 73,500,000≈ US$53,141 | official |
| 26 Aug 2026 | Japan | moomoo証券株式会社 (moomoo Securities Co., Ltd.) (securities company (trading participant)) | JPX | Formal Reprimand | — | official |
| 26 Aug 2026 | Moldova | O.C.N. "Flex Financial" S.R.L. (non-bank credit organisation) | NBM | Monetary Penalty | MDL 1,442,912 | official |
| 26 Aug 2026 | Italy | Daniela Gnutti, Silvana Gnutti, Marco Landi, Andrea Ruggeri Gnutti (individuals) | CONSOB | Prohibition Order Monetary Penalty | — | official |
| 25 Aug 2026 | United Kingdom | Sanjay Maraj (individual) | FCA | Prohibition Order Settlement | £122,000≈ US$166,323 | official |
| 25 Aug 2026 | United Kingdom | Denisz Andras Nagy (individual) | FCA | Prohibition Order Settlement | £324,800≈ US$442,800 | official |
| 25 Aug 2026 | Russia | Публичное акционерное общество «Южуралзолото группа компаний» (joint-stock company) | Central Bank of the Russian Federation (Bank of Russia) | Remedial Direction | — | official |
| 25 Aug 2026 | Peru | Compañía Minera Poderosa S.A. (mining company (securities issuer)) | Monetary Penalty | PEN 32,057.2≈ US$9,592 | official | |
| 25 Aug 2026 | India | The Citizens Co-operative Bank Ltd., Jammu (co-operative bank) | RBI | Business Restriction | — | official |
| 25 Aug 2026 | India | Desaiganj Nagari Cooperative Bank Maryadit, Desaiganj (co-operative bank) | RBI | Business Restriction | — | official |
| 25 Aug 2026 | Australia | Alexander John McCulloch (individual (former project manager, Beacon Minerals Limited)) | ASIC | Criminal Resolution | — | official |
| 25 Aug 2026 | Brazil | Alan da Silva Neres (individual) | CVM | Prohibition Order | — | official |
| 25 Aug 2026 | Brazil | Infinite Trade LLC. (company) | CVM | Monetary Penalty | BRL 3,900,000 | official |
| 25 Aug 2026 | Belgium | Wise Europe SA | NBB | Remedial Direction | — | official |
| 24 Aug 2026 | Russia | Публичное акционерное общество «Банк «Санкт-Петербург» (commercial bank) | Central Bank of the Russian Federation (Bank of Russia) | Remedial Direction | — | official |
| 24 Aug 2026 | Russia | Публичное акционерное общество «Совкомбанк» (commercial bank) | Central Bank of the Russian Federation (Bank of Russia) | Remedial Direction | — | official |
| 24 Aug 2026 | Hong Kong | Ernest Chan Tsz Kin (individual (former responsible officer)) | SFC | Licence Action Prohibition Order | — | official |
| 24 Aug 2026 | Germany | pferdewetten.de AG (listed company) | BaFin | Monetary Penalty | €250,000 | official |
| 24 Aug 2026 | Germany | Two natural persons (not named) (individual) | BaFin | Monetary Penalty | — | official |
| 21 Aug 2026 | Taiwan | Horizon Securities Co., Ltd. (securities firm (futures proprietary trading)) | SFB | Monetary Penalty | TWD 120,000≈ US$3,768 | official |
| 21 Aug 2026 | Luxembourg | BigRep SE (issuer of securities (home Member State Luxembourg)) | CSSF | Monetary Penalty | €20,000≈ US$23,398 | official |
| 21 Aug 2026 | Luxembourg | SMG Hospitality SE (issuer of securities (home Member State Luxembourg)) | CSSF | Monetary Penalty | €20,000≈ US$23,398 | official |
| 21 Aug 2026 | Luxembourg | Corestate Capital Holding S.A. (issuer of securities (home Member State Luxembourg)) | CSSF | Monetary Penalty | €20,000≈ US$23,398 | official |
| 21 Aug 2026 | Luxembourg | Gaz Capital S.A. (issuer of securities (home Member State Luxembourg)) | CSSF | Monetary Penalty | €10,000≈ US$11,699 | official |
| 21 Aug 2026 | Luxembourg | KSG Agro S.A. (issuer of securities (home Member State Luxembourg)) | CSSF | Monetary Penalty | €20,000≈ US$23,398 | official |
| 21 Aug 2026 | Denmark | Lunar Bank A/S (digital bank) | Remedial Direction Formal Reprimand | — | official | |
| 21 Aug 2026 | Canada | Mari Sophia Mendoza Encarnacion (individual (mutual fund dealing representative)) | CIRO | Licence Action Disgorgement / Restitution | CAD 100,000≈ US$72,674 | official |
| 21 Aug 2026 | Canada | Paul Vincent Ongcapin Encarnacion (individual (mutual fund dealing representative and branch manager)) | CIRO | Licence Action Disgorgement / Restitution | CAD 300,000≈ US$218,023 | official |
| 21 Aug 2026 | Liechtenstein | Legal person (not named in the publication) (legal person (type not published)) | FMA | Monetary Penalty | CHF 50,000 | official |
| 21 Aug 2026 | Chile | Banco de Chile (commercial bank) | CMF | Monetary Penalty | CLF 238.14 | official |
| 21 Aug 2026 | Chile | Banco Santander-Chile (commercial bank) | CMF | Monetary Penalty | CLF 2,656.46 | official |
| 21 Aug 2026 | Austria | Raiffeisenverband Salzburg eGen (bank) | FMA | Monetary Penalty | €159,000 | official |
| 20 Aug 2026 | India | Pramerica Life Insurance Limited (Life Insurer) | IRDAI | Business Restriction | — | official |
| 20 Aug 2026 | India | Edelweiss Life Insurance Company Limited (Life Insurer) | IRDAI | Business Restriction | — | official |
| 19 Aug 2026 | United States | Caroline Ellison and Gary Wang (individuals (former Alameda executives)) | CFTC | Prohibition Order | — | official |
| 19 Aug 2026 | Russia | Публичное акционерное общество «Трубная металлургическая компания» (joint-stock company) | Central Bank of the Russian Federation (Bank of Russia) | Remedial Direction | — | official |
| 19 Aug 2026 | Norway | FGH Revisjon AS (audit firm) | Finanstilsynet (Financial Supervisory Authority of Norway) | Monetary Penalty | NOK 400,000≈ US$41,710 | official |
| 19 Aug 2026 | Japan | KDDI株式会社 (KDDI Corporation) (telecom operator) | PPC | Formal Reprimand | — | official |
| 19 Aug 2026 | Denmark | Nordea Danmark, filial af Nordea Bank Abp, Finland (bank branch (foreign)) | Remedial Direction | — | official | |
| 19 Aug 2026 | Canada | Haimeng Wang (individual (former mutual fund dealing representative)) | CIRO | Prohibition Order Disgorgement / Restitution | CAD 201,895.51≈ US$146,047 | official |
| 19 Aug 2026 | Oman | Ideal Value Auditing and Financial Consultancy (accounting and auditing firm) | FSA | Licence Action | — | official |
| 19 Aug 2026 | Argentina | Mundo Bursátil S.A. (settlement and clearing agent (ALyC)) | CNV | Monetary Penalty | ARS 15,000,000 | source |
| 19 Aug 2026 | India | Niva Bupa Health Insurance Co Limited (Health Insurer) | IRDAI | Business Restriction | — | official |
| 19 Aug 2026 | India | Acko General Insurance Limited (General Insurer) | IRDAI | Business Restriction | — | official |
| 18 Aug 2026 | Taiwan | Yong Cheng International Securities Investment Consulting Co., Ltd. (securities investment consulting enterprise) | SFB | Prohibition Order Monetary Penalty | TWD 1,200,000≈ US$37,565 | official |
| 18 Aug 2026 | India | Alliance Research (Proprietor Mr. Mudassir Hasan) (investment adviser (individual proprietor)) | SEBI | Monetary Penalty | ₹6 lakh≈ US$6,271 | official |
| 18 Aug 2026 | Australia | Bendigo and Adelaide Bank Limited (Major Regional Bank) | APRA | Additional Licence Conditions (non-monetary) | — | official |
| 17 Aug 2026 | United Kingdom | Demetrios Christos Hadjigeorgiou (individual) | FCA | Prohibition Order Settlement | £56,400≈ US$76,439 | official |
| 17 Aug 2026 | Denmark | Investering og Ejendomme ApS (company managing an alternative investment fund) | Remedial Direction | — | official | |
| 17 Aug 2026 | China | 上海国泰海通证券资产管理有限公司 (securities asset management company) | SAFE | Disgorgement / Restitution Monetary Penalty | CNY 52,547,400≈ US$7,798,086 | official |