Subject · Client due diligence
2 case files in the register fall under client due diligence. Each entry links to the court, prosecutor or supervisory source that established it.
Records in the register grouped under client due diligence, each linked to the court, prosecutor or supervisory source that established it.
| Ref. | Matter | Jurisdiction | Authority | Arose | Last decision | Status |
|---|---|---|---|---|---|---|
| CH-2024-04 | FINMA finds anti-money-laundering obligations seriously breached Mirabaud & Cie SA | Switzerland | FINMA | 14 May 2024 | 14 May 2024 | Enforcement proceedings concluded |
| NL-2018-01 | ING agrees a EUR 775m settlement with the Dutch Public Prosecution Service ING Groep N.V. | Netherlands | Openbaar Ministerie (Dutch Public Prosecution Service) | 4 September 2018 | 4 September 2018 | Concluded — settlement |
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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.