Year · 2020

Financial conduct records — 2020

6 documented case files in the register were first recorded in 2020. Each entry links to the court, prosecutor or supervisory source that established it.

Case files in this group

Ref.MatterJurisdictionAuthorityAroseLast decisionStatus
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
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
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NorwayFinanstilsynet (Norway)1 November 20231 November 2023Licence withdrawn
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
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
ES-2020-01Audiencia Nacional acquits former Bankia officers over the 2011 stock market listing

Bankia S.A.

SpainAudiencia Nacional20 July 201129 September 2020Acquitted

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