Case index · European Union · Nordics · Switzerland

Documented financial conduct files in European and Nordic finance

Every entry below records what a named public source — a court judgment, regulator decision, prosecutor statement or established news agency — has already reported. Entries are summaries with links to the source document; they are not findings of this register and do not assert wrongdoing beyond what those sources state.

View
Full case register
Ref.MatterJurisdictionAuthorityAroseLast decisionStatus
DK-2026-01Joint Nordic inspection of the Danske Bank group compliance function

Danske Bank A/S — Group Compliance

DenmarkFinanstilsynet, with the Norwegian and Swedish authorities1 February 202527 April 2026Inspection report published
CH-2026-03Disclosure on retrocession disclosure to discretionary mandate clients

Swiss external asset manager (entity not named pending review)

SwitzerlandFINMA (review requested)20 February 202620 February 2026Open disclosure — no findings made
DK-2026-01Disclosure on customer due diligence in high-volume merchant onboarding

Danish payments institution (entity not named pending review)

DenmarkFinanstilsynet (review requested)11 February 202611 February 2026Open disclosure — no findings made
CH-2026-02Protected disclosure concerning VINGA Corporate Finance and VINGA Securities

VINGA Corporate Finance AB · VINGA Securities AG (ex-JOOL)

SwitzerlandFINMA · Finansinspektionen · Finanstilsynet (review requested)1 February 20261 February 2026Open disclosure — no findings made
SE-2026-01Disclosure on documentation of security packages in retail-distributed bond placements

Swedish high-yield bond arranger (entity not named pending review)

SwedenFinansinspektionen (review requested)19 January 202619 January 2026Open disclosure — no findings made
FI-2026-01Disclosure on alert handling in cross-border correspondent flows

Finnish credit institution (entity not named pending review)

FinlandFinanssivalvonta (review requested)8 January 20268 January 2026Open disclosure — no findings made
NL-2026-01Disclosure on beneficial ownership records held for layered corporate clients

Dutch trust services provider (entity not named pending review)

NetherlandsDe Nederlandsche Bank (review requested)15 December 202515 December 2025Open disclosure — no findings made
NO-2026-01Disclosure on valuation of illiquid holdings in an open-ended fund

Norwegian fund manager (entity not named pending review)

NorwayFinanstilsynet Norway (review requested)27 November 202527 November 2025Open disclosure — no findings made
FI-2025-01FIN-FSA imposes a EUR 500,000 penalty payment on a virtual currency provider

LocalBitcoins Oy

FinlandFinanssivalvonta (FIN-FSA)3 June 20253 June 2025Penalty payment imposed
FR-2022-01ACPR sanctions decisions against French institutions for anti-money-laundering shortcomings

French credit institutions — ACPR sanctions register

FranceACPR Commission des sanctions1 January 202231 December 2024Decisions published
NL-2022-01Dutch prosecutor investigates Rabobank over anti-money-laundering compliance after a central bank order

Coöperatieve Rabobank U.A.

NetherlandsDe Nederlandsche Bank / Openbaar Ministerie21 December 202131 December 2024Investigation reported ongoing
DE-2020-01Wirecard AG: EUR 1.9bn reported missing, insolvency and a continuing criminal trial in Munich

Wirecard AG (insolvent)

GermanyMunich I Regional Court / Munich public prosecutor18 June 202016 December 2024Trial in progress
PT-2014-01Banco Espírito Santo resolved by the Bank of Portugal; the criminal trial continues in Lisbon

Banco Espírito Santo S.A. (resolved)

PortugalBanco de Portugal / Lisbon criminal court3 August 201424 October 2024Trial in progress
FI-2021-01FIN-FSA imposes a EUR 1.65 million penalty payment over omissions in detecting suspicious transactions

S-Bank Plc

FinlandFinanssivalvonta (FIN-FSA)1 September 20241 September 2024Penalty payment imposed
DK-2024-02Danish FSA inspection of correspondent banking controls

Nordea Danmark, branch of Nordea Bank Abp

DenmarkFinanstilsynet1 June 20241 June 2024Inspection report published
CH-2024-04FINMA finds anti-money-laundering obligations seriously breached

Mirabaud & Cie SA

SwitzerlandFINMA14 May 202414 May 2024Enforcement proceedings concluded
DK-2024-05Danish FSA inspection of customer due diligence and respondent monitoring

Nykredit Bank A/S

DenmarkFinanstilsynet1 March 20241 March 2024Inspection report published
FR-2019-01Paris court convicts UBS over cross-border client solicitation; higher courts revise the penalty

UBS AG / UBS France

FranceTribunal correctionnel de Paris / Cour de cassation20 February 201915 November 2023Conviction confirmed; penalty reassessed
NO-2020-01Norwegian supervisor withdraws the licence of a Nordic high-yield bond distributor

JOOL Markets AS

NorwayFinanstilsynet (Norway)1 November 20231 November 2023Licence withdrawn
DK-2024-04Danish FSA inspection of AML controls at Saxo Bank

Saxo Bank A/S

DenmarkFinanstilsynet1 September 20231 September 2023Inspection report published
CH-2024-05FINMA publishes findings on breaches of money-laundering regulations

Banque Audi (Suisse) SA

SwitzerlandFINMA1 June 20231 June 2023Enforcement proceedings concluded
SE-2024-01Swedish appeals court convicts a former bank chief executive over statements on Estonian money laundering

Swedbank AB — former chief executive

SwedenSvea Court of Appeal · Swedish Economic Crime Authority20 February 201930 January 2023Convicted on appeal — further appeal reported
DK-2018-01Danske Bank Estonia branch: internal disclosure, Danish FSA orders and a later US resolution

Danske Bank A/S

DenmarkFinanstilsynet (Danish FSA)3 May 201813 December 2022Concluded — resolved 2022
ES-2017-01Banco Popular resolved overnight and sold for one euro; Spanish court proceedings follow

Banco Popular Español S.A. (resolved)

SpainSingle Resolution Board / Audiencia Nacional7 June 201730 November 2022Resolution completed; proceedings continued
DK-2024-03Danish police charge Nordea over 2012–2015 anti-money-laundering compliance

Nordea Bank Abp

DenmarkDanish Special Crime Unit (NSK)4 June 201913 May 2022Charges filed — proceedings pending
IT-2019-01Milan convictions over Monte dei Paschi derivatives are overturned on appeal

Banca Monte dei Paschi di Siena S.p.A.

ItalyTribunal of Milan / Court of Appeal8 November 20196 May 2022Convictions overturned on appeal
DE-2021-02BaFin extends the special monitor appointed over Deutsche Bank's anti-money-laundering controls

Deutsche Bank AG

GermanyBaFin21 September 201824 March 2022Special monitor extended
AT-2009-02Meinl European Land: certificate buy-backs and the Vienna investigation

Meinl Bank AG · Meinl European Land

AustriaVienna public prosecutor · FMA1 August 20071 November 2021Investigation closed against principal
CH-2025-01Loans to Mozambican state-owned companies: Swiss federal indictment

Credit Suisse SA (former)

SwitzerlandOffice of the Attorney General of Switzerland1 March 201319 October 2021Indictment filed — proceedings pending
DE-2020-02Bonn Regional Court convicts in the first cum-ex trial; the Federal Court of Justice upholds the finding

Cum-ex dividend trading — multiple institutions

GermanyBonn Regional Court / Federal Court of Justice18 March 202028 July 2021Convictions upheld
NO-2022-01Norwegian supervisor fines the country's largest bank over anti-money-laundering breaches

DNB Bank ASA

NorwayFinanstilsynet (Norway)4 May 20214 May 2021Administrative fine imposed
NL-2021-01ABN AMRO accepts a EUR 480m settlement over anti-money-laundering failings

ABN AMRO Bank N.V.

NetherlandsOpenbaar Ministerie (Dutch Public Prosecution Service)19 April 202119 April 2021Concluded — settlement
IT-2021-01Venice court rules on the collapse of Banca Popolare di Vicenza and its shareholder losses

Banca Popolare di Vicenza S.p.A. (liquidated)

ItalyCourt of Venice25 June 201717 March 2021First-instance judgment
CH-2024-03FINMA finds AML obligations breached in two PEP relationships

HSBC Private Bank (Suisse) SA

SwitzerlandFINMA16 March 202116 March 2021Enforcement proceedings concluded
DE-2021-01BaFin closes Greensill Bank and files a criminal complaint over its balance sheet

Greensill Bank AG (Bremen)

GermanyBaFin3 March 202116 March 2021Moratorium, then insolvency
ES-2020-01Audiencia Nacional acquits former Bankia officers over the 2011 stock market listing

Bankia S.A.

SpainAudiencia Nacional20 July 201129 September 2020Acquitted
SE-2020-02Finansinspektionen issues a remark and a SEK 1 billion fine over Baltic money-laundering governance

Skandinaviska Enskilda Banken AB (SEB)

SwedenFinansinspektionen25 June 202025 June 2020Sanction decision issued
SE-2020-01Finansinspektionen issues a SEK 4 billion administrative fine over Baltic anti-money-laundering deficiencies

Swedbank AB

SwedenFinansinspektionen19 March 202019 March 2020Sanction decision issued
MT-2018-01Pilatus Bank's licence is withdrawn following the arrest of its chairman

Pilatus Bank plc (licence withdrawn)

MaltaMalta Financial Services Authority / ECB21 March 20185 November 2018Licence withdrawn
NL-2018-01ING agrees a EUR 775m settlement with the Dutch Public Prosecution Service

ING Groep N.V.

NetherlandsOpenbaar Ministerie (Dutch Public Prosecution Service)4 September 20184 September 2018Concluded — settlement
LV-2018-01ABLV Bank loses correspondent access and enters self-liquidation after the ECB assessment

ABLV Bank AS (liquidating)

LatviaECB / Single Resolution Board / FCMC13 February 201812 June 2018Self-liquidation approved
IT-2017-01Veneto banks: financed share placements and the 2017 wind-up

Banca Popolare di Vicenza · Veneto Banca

ItalyBanca d'Italia · European Central Bank · CONSOB1 April 201525 June 2017Concluded — banks wound up
IS-2008-02Landsbanki and Icesave: deposit guarantees and the Icelandic market-manipulation case

Landsbanki Íslands hf.

IcelandOffice of the Special Prosecutor · EFTA Court7 October 20086 October 2016Concluded — convictions and EFTA ruling
IS-2008-03Glitnir: lending decisions taken in the weeks before the 2008 collapse

Glitnir Bank hf.

IcelandOffice of the Special Prosecutor29 September 20081 June 2016Concluded — appellate review recorded
AT-2009-01Hypo Alpe-Adria: emergency nationalisation and the Austrian proceedings

Hypo Alpe-Adria-Bank International AG

AustriaFMA · Austrian criminal courts14 December 20091 March 2016Concluded — bank wound down
IS-2015-01Supreme Court of Iceland upholds prison sentences against four former bank executives

Kaupthing Bank hf. (failed)

IcelandSupreme Court of Iceland12 December 201312 February 2015Convictions upheld
IS-2015-01Kaupthing al-Thani: financed share purchase and the Icelandic Supreme Court judgment

Kaupthing Bank hf.

IcelandOffice of the Special Prosecutor · Supreme Court of Iceland22 September 200812 February 2015Concluded — convictions confirmed
AT-2009-03Bank Medici: Madoff feeder-fund exposure and the London civil trial

Bank Medici AG

AustriaFMA · England & Wales High Court11 December 20082 August 2013Civil claim dismissed — licence withdrawn
IT-2005-01Banca Antonveneta: the contested 2005 bid and the Italian proceedings that followed

Banca Popolare Italiana · Banca Antonveneta

ItalyBanca d'Italia · CONSOB · Milan prosecutors1 July 20051 June 2011Concluded — convictions recorded
IT-2003-01Parmalat: accounting shortfall, bondholder losses and Italian convictions

Parmalat S.p.A.

ItalyPublic Prosecutor, Parma and Milan · CONSOB19 December 20039 December 2010Concluded — convictions confirmed
AT-2008-01BAWAG: Caribbean speculative losses and the Vienna judgment

BAWAG P.S.K.

AustriaVienna Regional Court · FMA1 March 20064 July 2008Concluded — conviction upheld

51 of 51 entries shown

Continue through the register