Disclaimer

The list of investment firms authorised by the national competent authorities of the Member States  also includes information   on  the services and activities for which the relevant investment firm is  authorised and on published administrative measure, sanctions or criminal sanctions relating to the relevant investment firm that may have been imposed persuant to the provisions of national law implementing MAD  and  MiFID II]. Where a competent authority has withdrawn an authorisation that withdrawal shall be  indicated on  the list for a period of five years.

The publication of the information on this website does not prejudice the results of verifications on the completeness and correctness of the transposition of EU law into national law.

This database contains also data related to European Economic Area (EEA) / European Free Trade Association (EFTA) States based on the notifications received by ESMA, the publication of which does not affect the status of incorporation of relevant EU law into the EEA Agreement and any related legal consequences.

ESMA has compiled this list (including the information on the services and activities and published sanctions) on the basis of notifications made to it by the national competent authorities of the Member States [of the European Economic Area (EEA)].

Not all competent national supervisory authorities require a specific authorisation for ancillary services. Therefore the list may not provide any indications on such services although the relevant investment firm may actually be entitled to provide such services.

The present list of investment firms also includes branches of investment firms authorised in another Member State to the extent that the national competent authorities of the Member State where the branch is established include such branches among the authorised investment firms they notify to ESMA. However, not all competent national supervisory authorities include branches of investment firms authorised in another Member State among the authorised investment firms they notify to ESMA. Therefore the present list of investment firms may not include all branches of investment firms authorised in another Member State.

The present list of investment firms also includes credit institutions (including branches of credit institutions authorised in another Member State) to the extent that the latter are authorised under the laws of the relevant Member State to provide investment services and activities. However, not all competent national supervisory authorities include such credit institutions (or branches of credit institutions) among the authorised investment firms they notify to ESMA. Therefore the present list of investment firms may not include all credit institutions (or branches of credit institutions) actually entitled to provide investment services and activities.

The information on published administrative measure, sanctions or criminal sanctions relating to an investment firm included in the present list is based on reports of such sanctions made by the national competent authorities of the relevant Member State to ESMA. The information made available may thus vary substantially according to the applicable provisions of the national law of the relevant Member State.


ESMA draws users' attention to the fact that ESMA is in the process of working with the NCAs in order to complete all operational steps necessary for them to upload on the consolidated registers all   national  data. National data not available on these consolidated registers is accessible via the competent national supervisory authorities.

MiFID Investment Firms register

Last update:19/01/2018, 13:00:11

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