18:4416 hr ago
MED RISK
Legal & Regulatory news
New rules and guidance, consultations, supervisory findings and enforcement actions against firms for compliance failures, such as fines for weak anti-money laundering systems, sanctions breaches and reporting failures. They show what supervisors expect and where other firms fell short.
In the last 90 days the radar indexed 43 Legal & Regulatory items from 20 sources, most of them affecting the United States, the United Kingdom and the European Union. The newest, from ICIJ, was published on 15 Oct 2026.
- ITEMS, LAST 90 DAYS
- 43
- REGULATORS’ OWN NOTICES
- 33
- SOURCES
- 20
- LATEST ITEM
- 15 Oct 2026
Latest items
Regulators’ own notices (A1) and verified outlets (A2), newest first. Secondary press stays in the live feed.
12:0023 hr ago
MED RISK
08:3015 Oct
ESMA's third Sanctions Report highlights the need for greater convergence in enforcement
1 entityUSD 87,000,000
MED RISK
08:3015 Oct
MED RISK
11:2914 Oct
Bank of America Fined $1.21B Over AML Failures
1 entityUSD 1,210,000,000
HIGH RISK
20:1513 Oct
OCC Imposes $750 Million Assessment Against Bank of America for Deficient BSA/AML Compliance
2 entitiesUSD 750,000,000
HIGH RISK
09:1013 Oct
LOW RISK
09:0613 Oct
Guidance: SFO Cooperation Guidance
1 entity+1 source
LOW RISK
04:4413 Oct
LOW RISK
08:3012 Oct
Whistleblowing
2 entities
MED RISK
15:509 Oct
LOW RISK
20:308 Oct
HIGH RISK
20:308 Oct
OCC Assesses $350 Million Civil Money Penalty Against American Express
2 entitiesUSD 350,000,000+6 sources
HIGH RISK
15:528 Oct
LOW RISK
10:468 Oct
MED RISK
12:187 Oct
MED RISK
12:475 Oct
SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week
1 entity
LOW RISK
12:005 Oct
MED RISK
15:002 Oct
MED RISK
12:001 Oct
Assistant Attorney General Colin M. McDonald Issues Memorandum on the National Fraud Enforcement Division’s Corporate Enforcement Priorities
3 entities+1 source
LOW RISK
09:281 Oct
LOW RISK
13:5030 Sep
MED RISK
12:5030 Sep
LOW RISK
08:3030 Sep
MED RISK
09:0029 Sep
LOW RISK
00:0029 Sep
MED RISK
12:3928 Sep
LOW RISK
15:0024 Sep
MED RISK
12:5024 Sep
News release: FINTRAC imposes an administrative monetary penalty on Caisse populaire acadienne ltée
2 entitiesUSD 676,500+1 source
MED RISK
12:5024 Sep
News release: FINTRAC imposes an administrative monetary penalty on Pathwise Credit Union
2 entitiesUSD 41,250+1 source
MED RISK
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