By subject · Compliance screening categories
The case files are grouped below by the conduct subject a compliance or screening desk would recognise: anti-money-laundering controls, transaction monitoring, investor disclosure, market manipulation and related themes.
5 case files
Records in which a supervisor or court examined anti-money-laundering controls: customer due diligence, transaction monitoring, correspondent relationships and the escalation of suspicious activity.
5 case files
Records concerning what investors were told at the point of issue, placement or listing, and what the underlying documents showed.
4 case files
Records concerning correspondent relationships and non-resident deposit flows, a recurring channel in European money-laundering matters.
3 case files
Records concerning the identification of customers and beneficial owners, and the documentation held on file.
3 case files
Records concerning the detection and escalation of suspicious transactions, including monitoring systems that failed to generate or act on alerts.
3 case files
Records concerning the manipulation of share prices, indices or benchmarks, and related market-abuse proceedings.
3 case files
Records concerning breach-of-trust findings against directors and officers in connection with bank losses and resolutions.
2 case files
Records in the register grouped under client due diligence, each linked to the court, prosecutor or supervisory source that established it.
2 case files
Records in the register grouped under correspondent relationships, each linked to the court, prosecutor or supervisory source that established it.
2 case files
Records in the register grouped under aml, each linked to the court, prosecutor or supervisory source that established it.
2 case files
Records in the register grouped under monitoring, each linked to the court, prosecutor or supervisory source that established it.
2 case files
Records in the register grouped under aml governance, each linked to the court, prosecutor or supervisory source that established it.
2 case files
Records concerning tax-driven structures, including dividend-arbitrage and cross-border solicitation proceedings.
2 case files
Records in the register grouped under bank resolution, each linked to the court, prosecutor or supervisory source that established it.
| Ref. | Matter | Jurisdiction | Authority | Arose | Last decision | Status |
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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.