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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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  • Market Abuse

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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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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The Director Who Traded During a Closed Period

A professor who served on the board of a European software vendor was fined €60,000 for trading in the company’s shares during a closed period. The...
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