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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.

Featured case study

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The Fraud That Led to Restrictions on Employee Personal Trades

Employees at a European financial regulator (Organisation A) were subject to stringent employee personal trade monitoring procedures following the...
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The Bank Accused of Having a Problem With Front-Running

A European person, known hereafter as Person A, was found to have defrauded a client (Company A) of the major international bank (Company B) for...
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When Suspicious Trading Leads to a Conviction for Insider Trading

A man admitted in court that he made trades in the shares of a pharmaceutical company (Company A) based on protected information, becoming the first...
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The Importance of Understanding What is Inside Information

A European energy company (Stakeholder A) was fined nearly €2.5 million after it unlawfully delayed the disclosure of inside information. The company...
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When Delayed Disclosure of Inside Information Leads to Insider Dealing

A European biotech firm unlawfully delayed the disclosure of two pieces of inside information that could have proved detrimental to its share price....
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The Trader Who Was Fined €14 Million for Insider Dealing

In the mid-2010s, a trader based in an EU country received what was at the time a record fine for insider dealing. The experienced investor...
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The Whistleblower Who Exposed the Multinational’s Misconduct-Fuelled Expansion

In 2022, a former high-ranking official at a major tech firm leaked 124,000 confidential documents to a newspaper that shared the information with...
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The Company Failures That Led to Salmonella in Babies

A dairy company’s failure to act on information about long-standing contamination in a partner organisation’s factory led to babies displaying...
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The Bank That Failed to Create and Populate Insider Lists

In the late 2010s, a large European bank released two public statements regarding high-profile departures from its senior management team. Both...
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