Supervision · Prosecution · Enforcement
The register indexes decisions, sanctions and inspections published by the financial supervisory and prosecuting authorities below. Each authority page collects the case files in which that body appeared.
Switzerland · 5 case files
FINMA authorises and supervises Swiss banks, securities firms, insurers and asset managers, and publishes enforcement decisions where it establishes a serious breach of supervisory law. It may impose professional bans, disgorge unlawful profits and withdraw authorisation.
Sweden · 4 case files
Finansinspektionen supervises Swedish credit institutions and investment firms, issues sanction decisions and administrative fines, and reports suspected criminal conduct to the Swedish Economic Crime Authority.
Denmark and Norway · 10 case files
Both the Danish and the Norwegian supervisory authorities carry the name Finanstilsynet. Each conducts inspections, issues orders and reprimands, may revoke the licence of an investment firm, and refers criminal suspicion to the national prosecution service.
Finland · 3 case files
Finanssivalvonta supervises Finnish banks, investment firms and payment institutions, and issues public warnings and penalty payments for breaches of anti-money-laundering and conduct rules.
Germany · 2 case files
BaFin supervises German credit institutions, financial services providers and insurers, appoints special monitors, and refers market-abuse and accounting matters to the public prosecutors.
Iceland · 3 case files
Established after the 2008 Icelandic banking collapse to investigate suspected criminal conduct connected with the failed banks. Its cases were tried before the district courts and the Supreme Court of Iceland.
Switzerland · 1 case file
The federal prosecution service for money laundering, corruption and organised financial crime with a cross-cantonal or international dimension.
Netherlands · 3 case files
The Dutch prosecution service, which concludes high-value settlements with financial institutions for anti-money-laundering failures and brings criminal proceedings against directors.
Netherlands · 2 case files
The Dutch prudential supervisor, responsible for the integrity supervision of banks including anti-money-laundering compliance.
Italy · 3 case files
CONSOB supervises Italian securities markets and issuer disclosure; Banca d'Italia is the prudential supervisor. Criminal matters are prosecuted before the tribunals of Milan, Parma and Venice.
Austria · 4 case files
The Austrian integrated supervisor for banking, securities, insurance and pensions, whose findings support criminal proceedings before the Vienna Regional Court.
France · 1 case file
The sanctions commission of the French prudential supervisor, which publishes reasoned decisions and financial penalties for anti-money-laundering and conduct breaches.
Spain · 2 case files
The Spanish national court with jurisdiction over major economic crime, including the proceedings arising from the Bankia listing and the Banco Popular resolution.
European Union · 4 case files
The ECB authorises and supervises significant euro-area banks and may withdraw authorisation; the Single Resolution Board decides on the resolution of failing banks.
Portugal · 1 case file
The Portuguese central bank and prudential supervisor, which resolved Banco Espírito Santo and referred conduct findings to the Lisbon criminal courts.
Malta · 1 case file
The single Maltese regulator for financial services, which acted with the ECB on the withdrawal of banking authorisations.
Denmark · 1 case file
The Danish national unit for serious economic and organised crime, which brings charges in bank money-laundering and dividend-arbitrage matters.
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Finanstilsynet inspections, FINMA enforcement decisions, federal proceedings and protected disclosures, each linked to its source.
Individuals recorded in Swedish, Icelandic, Danish and Swiss case files, each linked to its source.
Divisions, offices in Stockholm, Gothenburg, Geneva and Zurich, and the VINGA Corporate Bond fund.
Finanstilsynet revocation, issuer bankruptcy, prison sentence, Navigo Invest AB.
Enhanced due diligence controls, names to screen, entities to watchlist.
FINMA, Finansinspektionen, Finanstilsynet and the EU whistleblower channels.
Right of reply and corrections policy for this disclosure.