Enforcement Database

Research

Searchable database of fines, settlements, and enforcement actions across all major regulators.

$-B

Total fines (USD equivalent)

Enforcement actions

Regulators

75%

Settled

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$10M+

$50M+

$100M+

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32 of 32 actions shown

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Entity

Regulator

Fine

Date

Status

Harrowgate Capital LLP

Market abuse surveillance failures

Unregistered exchange, custody commingling

AML transaction monitoring backlog

Illegal repossessions, add-on product fees

Sanctions screening gaps

Load 12 more actions

Fines by regulator

SEC

$220M

DOJ

$210M

OCC

$165M

CFPB

$160M

CNIL

$120M

FCA

$59.5M

USD equivalent, current results

Violation types

AML

Consumer protection

Data protection

Disclosure

Systems controls

Custody

Market abuse

Safeguarding

In these results

Largest fine

$210M

Median fine

$21.8M

Under appeal

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Regulatory Timeline

Upcoming deadlines and effective dates

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