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Compliance Failures

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Browse real-life case studies, examining the disastrous financial and reputational implications of insider trading, mistreatment and other forms of misconduct.

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The Case of Whistleblower Repression

A journalist and human rights activist from a central Asian country has been living in exile in Europe after being detained and beaten by police in...
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The Biotech Firm That Withheld Inside Information

A European biotech company was fined half a million euro, with two directors also receiving six-figure sanctions. The local regulator, AMF, found it...
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The CEO Who Bought Shares Ahead of His Own Appointment

The incoming CEO of a European Union-based sports team bought shares in the publicly listed club before his new role was announced, sparking...
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The Company That Received a Sanction for Insider List Discrepancies

A European drinks company received a sanction from its national regulator for failing in its duties to properly maintain insider lists. It followed...
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Failure in Trade Surveillance Costs Broker €14 Million

An international institutional brokerage firm was fined around €14 million for failing to meet the trade surveillance requirements of the Market...
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Failure to Act in the Best Interests of Clients Leads to More Than €35 Million in Sanctions

Three individuals from the financial sector were found to have manipulated the markets and breached their professional obligations by the regulator...
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The Sports Governing Body That Went Public With Its Investigation

A European-based world governing body of a sport (Organisation A) went public with an investigation into the leader (Person A) of one of its teams...
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The Bank Fined for Forgetting to Report on PDMR Trades

A European bank (Company A) was fined by its country’s regulator following a share issue in which management figures were offered the chance to...
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