Skip to content

Compliance Failures

1 2 3 4 5 6 7 8 9

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

Featured case study

Post Picture
  • Insider Trading

Employee Personal Trading on Inside Information at Asset Management Firm

A senior fund manager at a European asset management firm was found to have been front-running his company’s trades to make more than €8 million in...
Read More
Post Picture

Delayed Disclosure of Inside Information and The Risks of a Permanent Insider List

A Swedish issuer received a penalty of more than SEK 1 million (€88,290). The company was found to have failed to publish inside information as soon...
Read More
Post Picture

The Tax Rebate Scheme That Cost Countries Billions

In the early-2010s, a tax official in a European country, referred to as Country A in this anonymised case study, noticed an unusually large number...
Read More
Post Picture

Fraud Within a Sporting Organisation

The vice-president (hereafter referred to as Person A) of an international sporting body based in the European Union (Company A) and president of a...
Read More
Post Picture

Ignoring the Mistreatment of Women

In the spring of 2021, a prominent investment bank incurred a loss of US$5.5 billion relating to the default of a capital management firm with which...
Read More
Post Picture

The Draft Press Releases and the Insider Fined €700,000

Inside information is described in the Market Abuse Regulation (MAR) as “information of a precise nature, which has not been made public, relating,...
Read More
Post Picture

Asset Management Company and its Owner Fined for Insider Dealing

The owner of an asset management company (hereafter referred to as Company A) admitted that both he and the business had committed insider dealing....
Read More
Post Picture

The Importance of Confidential Whistleblowing Reporting

A hospital in an EU country enlisted an IT firm to provide a whistleblowing reporting system. The solution was aimed at allowing staff members to...
Read More
Post Picture

The Whistleblowers Prosecuted For Exposing A Multinational

In the mid-2010s, two European whistleblowers, referred to here as Person A and Person B, passed on information that they had acquired in their role...
Read More

Navigate compliance with ease

Subscribe to the Compliance Alliance newsletter to stay up to date

Subscribe
newsletter-subscription-image

Sign up for our newsletter

Stay up to date with the latest news and products

You have successfully subscribed!

This is your official confirmation. Thank you for joining ComplyLog Newsletter. While you wait for the next issue of ComplyLog, check out the latest articles and references.