17/11/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),365capitalmarkets,,25/11/2020
17/11/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),OnlineMarketShare,,25/11/2020
17/11/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Bright Finance,,25/11/2020
17/11/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),MyCoinBanking,,25/11/2020
17/11/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Profits Trade,,25/11/2020
17/11/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Markets Pilot,,25/11/2020
17/11/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),MottoFX,,25/11/2020
17/11/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),OTPFX,,25/11/2020
17/11/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Solid Invest,,25/11/2020
17/11/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Uptos,,25/11/2020
17/11/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Synergy Capitals,,25/11/2020
17/11/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),TradersChain,,25/11/2020
11/11/2020,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,11/11/2025,02/12/2020
10/11/2020,AUSTRIA,MiFID,Administrative sanction,Austrian Financial Market Authority (FMA),Oberbank AG,10/11/2025,24/11/2020
04/11/2020,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,06/11/2020
04/11/2020,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,06/11/2020
04/11/2020,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,06/11/2020
04/11/2020,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,06/11/2020
04/11/2020,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,06/11/2020
21/09/2020,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"LIVEMARKETS EAF, S.A.",21/09/2025,16/10/2020
21/09/2020,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,21/09/2025,16/10/2020
21/09/2020,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"LIVEMARKETS EAF, S.A.",21/09/2025,16/10/2020
21/09/2020,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"LIVEMARKETS EAF, S.A.",21/09/2025,16/10/2020
21/09/2020,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"LIVEMARKETS EAF, S.A.",21/09/2025,16/10/2020
21/09/2020,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"LIVEMARKETS EAF, S.A.",21/09/2025,16/10/2020
21/09/2020,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,21/09/2025,16/10/2020
21/09/2020,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,21/09/2025,16/10/2020
21/09/2020,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,21/09/2025,16/10/2020
21/09/2020,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,21/09/2025,16/10/2020
21/09/2020,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,21/09/2025,16/10/2020
21/09/2020,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,21/09/2025,16/10/2020
21/09/2020,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,21/09/2025,16/10/2020
21/09/2020,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,21/09/2025,16/10/2020
21/09/2020,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,21/09/2025,16/10/2020
15/09/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Innerbrokers,,05/10/2020
15/09/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),BigFX,,05/10/2020
15/09/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Primecapitec,,05/10/2020
15/09/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Solidcapital,,05/10/2020
15/09/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Invcenter,,05/10/2020
15/09/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Remaxima,,05/10/2020
15/09/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Qteck,,05/10/2020
15/09/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Inertactive Trade,,05/10/2020
15/09/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),CMarketsGroup,,05/10/2020
15/09/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),WinnGroup,,05/10/2020
15/09/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Akita Michinoku Company,,05/10/2020
01/09/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Carlyle Capital Management,,05/10/2020
01/09/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Akiyama Acquisitions,,05/10/2020
01/09/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Ashton Group Ltd,,05/10/2020
01/09/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Crest View International,,05/10/2020
01/09/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),ILA International,,05/10/2020
01/09/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Dunn & Burchill,,05/10/2020
28/08/2020,MALTA,MiFID,Administrative sanction,MFSA,MPM CAPITAL INVESTMENTS LIMITED,,13/11/2020
28/07/2020,BELGIUM,MiFID,Administrative sanction,Financial Services and Markets Authority (FSMA),Banque Degroof Petercam SA/NV,,11/08/2020
20/07/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),UCM LIMITED (WWW.UCM-LIMITED.COM),,11/08/2020
15/07/2020,ITALY,MiFID,Administrative measure,BANCA D'ITALIA,PROGETTO SIM S.P.A. - SOCIETA' DI INTERMEDIAZIONE MOBILIARE IN FORMA ABBREVIATA "PROGETTO SIM S.P.A.",,17/09/2020
14/07/2020,POLAND,MiFID,Administrative measure,Polish Financial Supervisory Authority (KNF),,,10/11/2020
06/07/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),FIRST PROPERTY (ANCIENNEMENT HTTPS://FIRSTPROPERTY.EU),,05/10/2020
01/07/2020,FINLAND,MiFID,Administrative sanction,Finanssivalvonta (FSA),Privanet Capital Markets Ltd,,09/09/2020
26/06/2020,FRANCE,MiFID,Administrative sanction,Autorité des Marchés Financiers (AMF),CERES FINANCE,26/06/2025,18/08/2020
23/06/2020,SPAIN,MAR,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"GESTION DE PATRIMONIOS MOBILIARIOS, SOCIEDAD DE VALORES, S.A.",23/06/2025,21/09/2020
17/06/2020,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,23/06/2020
15/06/2020,NORWAY,MiFID,Criminal sanction,Norwegian Financial Supervisory Authority,JOOL MARKETS AS,,12/06/2020
09/06/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),ACTIO-CONSEIL (ANCIENNEMENT WWW.ENERGIE-DMA-ACCESS.COM ET HTTPS://ACTIO-CONSEIL.COM/),,07/07/2020
09/06/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),LionsFM,,17/06/2020
09/06/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Tan Allen Piguet Asset Management,,18/06/2020
09/06/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),ABConseils-patrimoine.com,,18/06/2020
09/06/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Takahashi and Partners,,18/06/2020
09/06/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),United Markets Capital,,17/06/2020
09/06/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),General Trade,,17/06/2020
09/06/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Summit Trade,,17/06/2020
09/06/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Parker Prime,,17/06/2020
09/06/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Nava Gates,,17/06/2020
09/06/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),GoldenCFD,,17/06/2020
09/06/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Finantik,,17/06/2020
09/06/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),GiroFX,,17/06/2020
09/06/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),HTTPS://WWW.MAZDA-INT.COM/,,07/07/2020
27/05/2020,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,04/06/2020
27/05/2020,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,04/06/2020
27/05/2020,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,04/06/2020
27/05/2020,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,04/06/2020
27/05/2020,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,04/06/2020
26/05/2020,AUSTRIA,UCITS,Administrative sanction and measure,Austrian Financial Market Authority (FMA),LLB Invest Kapitalanlagegesellschaft m.b.H.,26/05/2025,24/06/2020
21/04/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),www.marketsx.fr,,06/05/2020
02/04/2020,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),CREDITO LOMBARDO VENETO S.P.A.,,13/04/2020
31/03/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Bitcoin-Evolution / Bitcoin-Revolution,,08/04/2020
31/03/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Kingston Trading,,08/04/2020
31/03/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),www.financial-liquidity.com,,08/04/2020
31/03/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Elite Trading,,08/04/2020
31/03/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Titan Pro 500,,08/04/2020
31/03/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),BTC-trading24,,08/04/2020
31/03/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Grand Capital,,08/04/2020
31/03/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Universal Markets,,08/04/2020
31/03/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),FX prime,,08/04/2020
17/03/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Gato Capital Partners (https://gatocapitalpartners.com/),,08/04/2020
17/03/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Byron-Stafford (https://byron-stafford.com/),,08/04/2020
17/03/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Larkin Asset Management (http://www.larkinassetmanagement.com),,08/04/2020
17/03/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Compass Consulting Group (http://www.compassconsultinggroup.co.uk/),,08/04/2020
17/03/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Sapone Trading (http://www.saponetrading.com/),,08/04/2020
17/03/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),J McKenzie (http://www.jmmckenzie.com/),,08/04/2020
17/03/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),McKenzie International Investments (https://mckenzieinternationalinvestments.com/),,08/04/2020
02/03/2020,LUXEMBOURG,UCITS,Administrative sanction and measure,Commission de Surveillance du Secteur Financier (CSSF),QUAMVEST S.A.,24/09/2025,13/10/2020
24/02/2020,LITHUANIA,UCITS,Administrative sanction and measure,Bank of Lithuania (LSC),"UAB ,,Orion Asset Management\"",,02/04/2020
18/02/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),www.central-spot.com,,07/04/2020
12/02/2020,AUSTRIA,UCITS,Administrative sanction and measure,Austrian Financial Market Authority (FMA),KEPLER-FONDS Kapitalanlagegesellschaft m.b.H.,12/02/2025,27/02/2020
12/02/2020,AUSTRIA,MiFID,Administrative sanction,Austrian Financial Market Authority (FMA),Raiffeisenbank Reutte registrierte Genossenschaft mit beschränkter Haftung,13/03/2025,18/05/2020
11/02/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),www.ingroupe-online.com / www.market.online-ingroupe.com,,07/04/2020
11/02/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),www.aes-financial.com,,07/04/2020
11/02/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),www.actio-prevoyance.com,,07/04/2020
11/02/2020,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,24/02/2020
11/02/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),www.winbankfinance.online,,07/04/2020
11/02/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),www.cesco-invest.com,,07/04/2020
11/02/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),www.intesa-gestion.com,,07/04/2020
03/02/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),My Safe Market,,18/02/2020
03/02/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),AllTradeMarkets,,18/02/2020
03/02/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Expert Base27,,18/02/2020
03/02/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Duxa Capital,,18/02/2020
03/02/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),INTRGROUP,,18/02/2020
03/02/2020,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Bormancorp,,18/02/2020
24/01/2020,FRANCE,EMIR,EMIR Penalty,Autorité des Marchés Financiers (AMF),BRED - Banque populaire,24/01/2025,04/03/2020
17/01/2020,LUXEMBOURG,EMIR,EMIR Penalty,Commission de Surveillance du Secteur Financier (CSSF),EDMOND DE ROTHSCHILD ASSET MANAGEMENT (LUXEMBOURG),16/09/2025,09/10/2020
15/01/2020,LUXEMBOURG,UCITS,Administrative sanction and measure,Commission de Surveillance du Secteur Financier (CSSF),NATIXIS INVESTMENT MANAGERS S.A.,24/09/2025,13/10/2020
10/01/2020,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,15/01/2020
23/12/2019,HUNGARY,MiFID,Administrative sanction,Central Bank of Hungary,HUDEX Energiatőzsde Zrt.,,20/07/2020
20/12/2019,FRANCE,MiFID,Administrative sanction,Autorité des Marchés Financiers (AMF),GSD GESTION,20/12/2025,18/08/2020
17/12/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Beflix,,23/12/2019
17/12/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),OmegaFX,,23/12/2019
17/12/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Blue Lexus,,23/12/2019
17/12/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),OptionFX,,23/12/2019
17/12/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Trade Idea,,23/12/2019
17/12/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),CFReserve,,23/12/2019
13/12/2019,SLOVAKIA,MiFID,Administrative sanction,National Bank of Slovakia (NBS),"Arca Brokerage House o.c.p., a.s.",,05/02/2020
11/12/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,15/01/2020
11/12/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,15/01/2020
10/12/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),www.dif-patrimoine.com,,23/12/2019
10/12/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),www.act-financial-solutions.com,,23/12/2019
09/12/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),BANCA NAZIONALE DEL LAVORO S.P.A.,,16/12/2019
06/12/2019,LUXEMBOURG,UCITS,Administrative sanction and measure,Commission de Surveillance du Secteur Financier (CSSF),CANDRIAM LUXEMBOURG,25/09/2025,13/10/2020
03/12/2019,POLAND,MiFID,Administrative sanction,Polish Financial Supervisory Authority (KNF),Alior Bank S.A.,,06/03/2020
19/11/2019,POLAND,MiFID,Administrative sanction,Polish Financial Supervisory Authority (KNF),Dom Maklerski Bank Ochrony Środowiska S.A.,,05/03/2020
12/11/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Lextin Capital / Green Wire Capital (http://lextincapital.com/ - semble à présent inactif -  et www.greenwirecapital.com),,13/12/2019
12/11/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Unique Global Investment (https://ugi.direct/ - semble à présent inactif ),,13/12/2019
12/11/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),"Blue Hill Capitals (pas de site web, « cloned firm » de www.bluehillscapital.com/)",,13/12/2019
12/11/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),www.helvea-ltd.com,,03/12/2019
12/11/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Structured Strategic Capital (www.structuredstrategiccapital.com/),,13/12/2019
12/11/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Oita Sumitomo Corporate (www.oscinternational.com/),,13/12/2019
12/11/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),SBAV Group (www.sbavgroup.com/),,13/12/2019
12/11/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Morgan Cowen Capital Markets (www.morgan-cowen.com/),,13/12/2019
05/11/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),www.first-matching.com,,03/12/2019
04/11/2019,LUXEMBOURG,UCITS,Administrative sanction and measure,Commission de Surveillance du Secteur Financier (CSSF),HANSAINVEST LUX S.A.,16/01/2025,13/10/2020
04/11/2019,LUXEMBOURG,UCITS,Administrative sanction and measure,Commission de Surveillance du Secteur Financier (CSSF),AXXION S.A.,16/01/2025,13/10/2020
04/11/2019,HUNGARY,MiFID,Administrative sanction,Central Bank of Hungary,MKB Bank Zrt.,,06/05/2020
22/10/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Marketcapital,,25/10/2019
22/10/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Trendinggraphs (Premium Systems),,25/10/2019
22/10/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Capital Pilots,,25/10/2019
22/10/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Stock global,,25/10/2019
17/10/2019,AUSTRIA,UCITS,Administrative sanction and measure,Austrian Financial Market Authority (FMA),Amundi Austria GmbH,,10/01/2020
15/10/2019,HUNGARY,MiFID,Administrative measure,Central Bank of Hungary,Commerzbank Zártkörűen Működő Részvénytársaság,,20/07/2020
11/10/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,14/10/2019
09/10/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,14/10/2019
08/10/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,10/10/2019
30/09/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),www.index-capital.be,,02/10/2019
30/09/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),www.choices-invest.com,,02/10/2019
30/09/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Kuvera Global LLC,,10/10/2019
25/09/2019,FRANCE,MiFID,Administrative sanction,Autorité des Marchés Financiers (AMF),Natixis Asset Management Finance,25/09/2024,18/10/2019
24/09/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Dream Equity (InvestingCapital),,04/10/2019
24/09/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),FlixGM (Altridium Group),,04/10/2019
24/09/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Tradershome,,04/10/2019
24/09/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Key Markets,,04/10/2019
24/09/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Kodimax,,04/10/2019
24/09/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Investteck,,04/10/2019
24/09/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Globalmarkets,,04/10/2019
24/09/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Masonford,,04/10/2019
24/09/2019,POLAND,MiFID,Administrative sanction,Polish Financial Supervisory Authority (KNF),,,24/02/2020
24/09/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Infinitrade,,04/10/2019
23/09/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,24/09/2019
30/08/2019,HUNGARY,MiFID,Administrative sanction,Central Bank of Hungary,EQUILOR Befektetési Zártkörűen Működő Részvénytársaság,,06/05/2020
06/08/2019,POLAND,MiFID,Administrative sanction,Polish Financial Supervisory Authority (KNF),Alior Bank S.A.,,11/10/2019
01/08/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,10/10/2019
24/07/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,05/08/2019
17/07/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,05/08/2019
09/07/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),www.rt-europe.be,,17/07/2019
09/07/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),www.deutschecapitalpartners.com,,17/07/2019
09/07/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),www.fortis-prime.com,,17/07/2019
09/07/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),www.aeglobalinvest.com,,17/07/2019
09/07/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Go Capital FX (Go Capital 123 - Lancelot Equity Ltd.),,11/07/2019
09/07/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Vipwayzone,,11/07/2019
09/07/2019,POLAND,MiFID,Administrative sanction,Polish Financial Supervisory Authority (KNF),Mercurius Dom Maklerski Sp. z o.o.,,11/10/2019
05/07/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,05/08/2019
03/07/2019,ITALY,MiFID,Administrative measure,BANCA D'ITALIA,ADVANCE SOCIETA' DI INTERMEDIAZIONE MOBILIARE - SOCIETA' PER AZIO NI,,31/07/2019
02/07/2019,FRANCE,MiFID,Administrative sanction,Autorité des Marchés Financiers (AMF),INVEST SECURITIES,02/07/2024,01/08/2019
01/07/2019,FRANCE,MiFID,Administrative sanction,Autorité des Marchés Financiers (AMF),PRADO PARADIS PATRIMOINE,01/07/2023,01/08/2019
24/06/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,08/07/2019
04/06/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Molineaux Investment,,08/07/2019
31/05/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),WORLDWIDE SAFE INVESTMENT LIMITED,,24/06/2019
31/05/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),WORLDWIDE SAFE INVESTMENT LIMITED,,24/06/2019
30/05/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,10/10/2019
30/05/2019,GREECE,EMIR,EMIR Penalty,Hellenic Capital Market Commission (HCMC),,,10/10/2019
29/05/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,24/06/2019
29/05/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),BANCA CONSULIA SPA,,24/06/2019
29/05/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),BANCA CONSULIA SPA,,17/07/2019
29/05/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,24/06/2019
28/05/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Echler Solomon Feng,,24/06/2019
28/05/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Global Alliance Capital,,24/06/2019
28/05/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Jonarnstein,,24/06/2019
28/05/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Sheridan Wells Advisors,,24/06/2019
28/05/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Elizabeth Lenz,,24/06/2019
28/05/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Elibank-Vernon,,24/06/2019
28/05/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Proud-Market.com,,24/06/2019
21/05/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),OMCMarkets,,24/06/2019
21/05/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Marketscube,,24/06/2019
21/05/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Swissmain.com/Meridian Banc Ltd.,,24/06/2019
21/05/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Littinvest,,24/06/2019
21/05/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),SSS Services,,24/06/2019
21/05/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),PlusOption,,24/06/2019
21/05/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Hope Area,,24/06/2019
20/05/2019,FRANCE,MiFID,Administrative sanction,Autorité des Marchés Financiers (AMF),HEDIOS PATRIMOINE,20/05/2024,01/08/2019
16/05/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,24/06/2019
16/05/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,24/06/2019
14/05/2019,LITHUANIA,MiFID,Administrative measure,Bank of Lithuania (LSC),Asset Management Company "INVL Asset Management",,24/06/2019
07/05/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,08/05/2019
07/05/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,08/05/2019
07/05/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,08/05/2019
07/05/2019,BELGIUM,UCITS,Administrative sanction and measure,Financial Services and Markets Authority (FSMA),Amundi Asset Management,,20/05/2019
03/05/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,20/05/2019
02/05/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,06/05/2019
29/04/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,06/05/2019
18/04/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,19/04/2019
18/04/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,19/04/2019
15/04/2019,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),IQ OPTION EUROPE LTD,,24/06/2019
10/04/2019,AUSTRIA,UCITS,Administrative sanction and measure,Austrian Financial Market Authority (FMA),MASTERINVEST Kapitalanlage GmbH,15/04/2024,30/04/2019
08/04/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,15/04/2019
29/03/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,08/04/2019
28/03/2019,ROMANIA,MiFID,Administrative measure,Romanian Financial Supervisory Authority,,,06/04/2019
26/03/2019,POLAND,MiFID,Administrative sanction,Polish Financial Supervisory Authority (KNF),,,10/10/2019
26/03/2019,POLAND,MiFID,Administrative sanction,Polish Financial Supervisory Authority (KNF),,,10/10/2019
25/03/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,06/04/2019
22/03/2019,AUSTRIA,UCITS,Administrative sanction and measure,Austrian Financial Market Authority (FMA),Erste Asset Management GmbH,27/03/2024,09/04/2019
19/03/2019,UNITED KINGDOM,MiFID,Administrative sanction,Financial Conduct Authority (FCA),UBS Limited,,21/03/2019
18/03/2019,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"GVC GAESCO VALORES S.V., S.A.",18/03/2024,24/06/2019
05/03/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),ADEMAF SA,,11/03/2019
28/02/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,04/03/2019
26/02/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),GBE-Capital (www.gbe-capital.com),,19/03/2019
26/02/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),JT-Europe (www.jt-europe.com),,19/03/2019
26/02/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,04/03/2019
26/02/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),BANCA POPOLARE VALCONCA - SOCIETA' PER AZIONI,,04/03/2019
25/02/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),BANCA POPOLARE SANT'ANGELO S.C.P.A.,,24/06/2019
25/02/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,04/03/2019
22/02/2019,ROMANIA,MiFID,Administrative measure,Romanian Financial Supervisory Authority,,,19/03/2019
21/02/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,25/02/2019
15/02/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,08/04/2019
15/02/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,08/04/2019
15/02/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,08/04/2019
15/02/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,08/04/2019
15/02/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,08/04/2019
15/02/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,08/04/2019
15/02/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,20/02/2019
12/02/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),HybridReserve (Singlebell LTD / SingleBell OU),,21/02/2019
12/02/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),365 Markets (Trustnet LTD),,21/02/2019
12/02/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),FXG Trade (Capital FXG Ltd / Nordic Pearl Ltd),,21/02/2019
12/02/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),CFDS100 (TRSYSTEM Ltd),,21/02/2019
12/02/2019,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),PBN CAPITAL (CAPITAL TECH LTD / PBOX LTD),,21/02/2019
29/01/2019,SPAIN,MAD,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"NORBOLSA SOCIEDAD DE VALORES, S.A.",29/01/2024,06/04/2019
28/01/2019,SPAIN,UCITS,Administrative sanction and measure,Comisión Nacional del Mercado de Valores (CNMV),"RIVA Y GARCIA GESTION, S.G.I.I.C., S.A.",28/01/2024,17/04/2019
28/01/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,08/04/2019
24/01/2019,FRANCE,MiFID,Administrative sanction,Autorité des Marchés Financiers (AMF),NOVACTIFS PATRIMOINE,24/01/2024,31/07/2019
24/01/2019,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,28/01/2019
15/01/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,08/04/2019
15/01/2019,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,08/04/2019
14/01/2019,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/01/2019
14/01/2019,ROMANIA,MiFID,Administrative measure,Romanian Financial Supervisory Authority,,,22/01/2019
14/01/2019,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/01/2019
14/01/2019,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/01/2019
28/12/2018,FRANCE,MiFID,Administrative sanction,Autorité des Marchés Financiers (AMF),AMADEIS,28/12/2023,31/07/2019
27/12/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Resona Dai-Ichi Group,,13/03/2019
27/12/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),IBG Capital Partners / Index Financial Group / State Bridge Partners,,13/03/2019
27/12/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),KLMholdings,,13/03/2019
27/12/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Cobalt Capital Inc,,13/03/2019
27/12/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Warrington Shaw,,13/03/2019
27/12/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Ashcroft Cohen Strategic Capital - ACSC,,13/03/2019
27/12/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Asia Associates,,13/03/2019
18/12/2018,POLAND,MiFID,Administrative sanction,Polish Financial Supervisory Authority (KNF),Mercurius Dom Maklerski Sp. z o.o.,,09/10/2019
17/12/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,21/12/2018
17/12/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,21/12/2018
17/12/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,21/12/2018
17/12/2018,ROMANIA,MiFID,Administrative measure,Romanian Financial Supervisory Authority,,,21/12/2018
06/12/2018,FRANCE,MiFID,Administrative sanction,Autorité des Marchés Financiers (AMF),Exane derivatives,06/12/2023,31/07/2019
06/12/2018,ROMANIA,MiFID,Administrative measure,Romanian Financial Supervisory Authority,,,13/12/2018
04/12/2018,ROMANIA,MiFID,Administrative measure,Romanian Financial Supervisory Authority,,,13/12/2018
15/11/2018,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,15/11/2023,21/02/2019
15/11/2018,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,15/11/2023,21/02/2019
15/11/2018,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"ACTIVOTRADE VALORES, AGENCIA DE VALORES, SOCIEDAD ANÓNIMA",15/11/2023,20/02/2019
15/11/2018,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"AHORRO CORPORACION FINANCIERA, S.V., S.A.",15/11/2023,20/02/2019
15/11/2018,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"AHORRO CORPORACION FINANCIERA, S.V., S.A.",15/11/2023,20/02/2019
15/11/2018,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"ACTIVOTRADE VALORES, AGENCIA DE VALORES, SOCIEDAD ANÓNIMA",15/11/2023,20/02/2019
08/11/2018,POLAND,MiFID,Administrative sanction,Polish Financial Supervisory Authority (KNF),Polski Dom Maklerski S.A.,,09/10/2019
06/11/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,20/02/2019
06/11/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,12/11/2018
05/11/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,21/11/2018
05/11/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,21/11/2018
05/11/2018,ROMANIA,MiFID,Administrative measure,Romanian Financial Supervisory Authority,,,21/11/2018
05/11/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,21/11/2018
05/11/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,21/11/2018
05/11/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,21/11/2018
05/11/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,21/11/2018
05/11/2018,ROMANIA,MiFID,Administrative measure,Romanian Financial Supervisory Authority,,,21/11/2018
05/11/2018,LUXEMBOURG,UCITS,Administrative sanction and measure,Commission de Surveillance du Secteur Financier (CSSF),NOVACAP ASSET MANAGEMENT S.A.,28/12/2023,09/01/2019
29/10/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,12/11/2018
24/10/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),CONSULTINVEST INVESTIMENTI S.P.A. SOCIETA' DI INTERMEDIAZIONE MOBILIARE ABBREVIABILE IN: CONSULTINVEST INVESTIMENTI - S.I.M. S.P.A.,,12/11/2018
23/10/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Daiju Commodity Markets,,22/11/2018
23/10/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Reed Cavendish Wealth Management,,22/11/2018
23/10/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Wainwright Marks Management,,22/11/2018
23/10/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Royston Carr Asset Management,,22/11/2018
23/10/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Hana Shizuoka Trading,,22/11/2018
23/10/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Aaron Brett,,22/11/2018
23/10/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Nanto Sapporo Brokerage,,22/11/2018
23/10/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Saga Nagoya Securities,,22/11/2018
23/10/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),TSB Wealth,,22/11/2018
23/10/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Fraser Hammond,,22/11/2018
23/10/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),RWM Holdings,,22/11/2018
17/10/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,20/02/2019
17/10/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,24/10/2018
17/10/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,24/10/2018
17/10/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,20/02/2019
17/10/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,20/02/2019
17/10/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,20/02/2019
15/10/2018,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"MERCADOS Y GESTION DE VALORES, AGENCIA DE VALORES, S.A.",15/10/2023,11/01/2019
09/10/2018,ROMANIA,MiFID,Administrative sanction,,,,10/12/2018
09/10/2018,SPAIN,MAD,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"LINK SECURITIES, SOCIEDAD DE VALORES, S.A.",09/10/2023,11/01/2019
09/10/2018,SPAIN,MAD,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"LINK SECURITIES, SOCIEDAD DE VALORES, S.A.",09/10/2023,11/01/2019
08/10/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),BANCA POPOLARE DI BARI SOCIETA' COOPERATIVA PER AZIONI,,20/02/2019
08/10/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,20/02/2019
02/10/2018,POLAND,MiFID,Administrative sanction,Polish Financial Supervisory Authority (KNF),,,15/01/2019
27/09/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,23/10/2018
25/09/2018,ROMANIA,MiFID,Administrative measure,Romanian Financial Supervisory Authority,,,24/10/2018
25/09/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/10/2018
25/09/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/10/2018
18/09/2018,POLAND,MiFID,Administrative measure,Polish Financial Supervisory Authority (KNF),Alior Bank S.A.,,09/10/2019
18/09/2018,POLAND,MiFID,Administrative sanction,Polish Financial Supervisory Authority (KNF),X-Trade Brokers S.A.,,09/10/2019
18/09/2018,AUSTRIA,MiFID,Administrative sanction,Austrian Financial Market Authority (FMA),Raiffeisenlandesbank Vorarlberg Waren- und Revisionsverband registrierte Genossenschaft mit beschränkter Haftung,,24/06/2019
18/09/2018,AUSTRIA,MiFID,Administrative sanction,Austrian Financial Market Authority (FMA),Raiffeisenlandesbank Burgenland und Revisionsverband eGen,,24/06/2019
17/09/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/10/2018
17/09/2018,ROMANIA,MiFID,Administrative measure,Romanian Financial Supervisory Authority,,,24/10/2018
14/09/2018,HUNGARY,MiFID,Administrative sanction,Central Bank of Hungary,NHB Növekedési Hitel Bank Zártkörűen Működő Részvénytársaság,,24/06/2019
11/09/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Kangyo Yokohama Securities,,21/11/2018
11/09/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Asahi Marusan Management,,21/11/2018
11/09/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Shinsei Securities,,21/11/2018
11/09/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Yamaguchi Laurentian Securities,,21/11/2018
11/09/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Sumitomo Gunma Holdings,,21/11/2018
11/09/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Cruzinvest.uk - Publicprivatebank.com,,21/11/2018
10/09/2018,SLOVAKIA,MiFID,Administrative sanction,National Bank of Slovakia (NBS),"VALOR, o.c.p., a.s.",,23/10/2018
04/09/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Day Dream Investments Ltd (Utrader),,21/11/2018
04/09/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,23/10/2018
04/09/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),MetaInvesting,,21/11/2018
04/09/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Goprofinance,,21/11/2018
04/09/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),BeCFD,,21/11/2018
04/09/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Blonde bear / TradeDax,,21/11/2018
04/09/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Spot2Trade,,21/11/2018
04/09/2018,SPAIN,UCITS,Administrative sanction and measure,Comisión Nacional del Mercado de Valores (CNMV),"NOVO BANCO GESTION, SGIIC, S.A.",04/09/2023,20/02/2019
31/08/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,23/10/2018
31/08/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,23/10/2018
28/08/2018,AUSTRIA,UCITS,Administrative sanction and measure,Austrian Financial Market Authority (FMA),Amundi Austria GmbH,29/08/2023,24/10/2018
21/08/2018,POLAND,MiFID,Administrative measure,Polish Financial Supervisory Authority (KNF),Mercurius Dom Maklerski Sp. z o.o.,,09/10/2019
17/08/2018,FINLAND,MiFID,Administrative sanction,Finanssivalvonta (FSA),Aalto Bankers Ltd,,09/11/2018
10/08/2018,AUSTRIA,UCITS,Administrative sanction and measure,Austrian Financial Market Authority (FMA),MASTERINVEST Kapitalanlage GmbH,14/08/2023,24/10/2018
09/08/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,25/10/2018
09/08/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,25/10/2018
09/08/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,25/10/2018
08/08/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/10/2018
08/08/2018,ROMANIA,MiFID,Administrative measure,Romanian Financial Supervisory Authority,,,24/10/2018
06/08/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,23/10/2018
02/08/2018,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),TRADOMART LTD,,02/08/2018
31/07/2018,POLAND,MiFID,Administrative measure,Polish Financial Supervisory Authority (KNF),Polski Dom Maklerski S.A.,,09/10/2019
26/07/2018,LUXEMBOURG,UCITS,Administrative sanction and measure,Commission de Surveillance du Secteur Financier (CSSF),DEN-AM S.A.,21/09/2023,27/09/2018
19/07/2018,GREECE,MiFID,Administrative measure,Hellenic Capital Market Commission (HCMC),,,08/04/2019
19/07/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,23/10/2018
19/07/2018,GREECE,MiFID,Administrative sanction,,,,20/02/2019
19/07/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,08/04/2019
09/07/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Denman-Brys Group,,21/11/2018
09/07/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Evans Chamberlain,,21/11/2018
09/07/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Worldwide Financing group,,21/11/2018
09/07/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Morgan Newfield,,21/11/2018
09/07/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Mizuho DKB Brokerage/SDD International,,21/11/2018
09/07/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Akita Matsui trading,,21/11/2018
09/07/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Sky Marketing,,21/11/2018
03/07/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),GTX Options,,21/11/2018
03/07/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,24/10/2018
03/07/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,08/04/2019
03/07/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,24/10/2018
02/07/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,23/10/2018
28/06/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,09/11/2018
28/06/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,09/11/2018
28/06/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,09/11/2018
28/06/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,09/11/2018
28/06/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,09/11/2018
25/06/2018,FRANCE,MiFID,Administrative sanction,BANCA D'ITALIA,IG markets limited,25/06/2023,17/08/2018
15/06/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,25/06/2018
13/06/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,18/06/2018
06/06/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,18/06/2018
04/06/2018,SPAIN,MAD,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"LINK SECURITIES, SOCIEDAD DE VALORES, S.A.",04/06/2023,10/07/2018
01/06/2018,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,01/06/2023,10/07/2018
29/05/2018,AUSTRIA,UCITS,Administrative sanction and measure,Austrian Financial Market Authority (FMA),Spängler IQAM Invest GmbH,02/07/2023,24/10/2018
29/05/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,04/06/2018
18/05/2018,POLAND,MiFID,Administrative sanction,Polish Financial Supervisory Authority (KNF),Time Asset Management S.A.,,09/10/2019
16/05/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,21/05/2018
15/05/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,24/10/2018
11/05/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),CHESHIRE CAPITAL LTD,,21/05/2018
11/05/2018,MALTA,MiFID,Administrative measure,Malta Financial Services Authority (MFSA),,,04/07/2018
09/05/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,21/05/2018
02/05/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,23/01/2019
24/04/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,27/09/2018
24/04/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,27/09/2018
24/04/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,27/09/2018
23/04/2018,HUNGARY,MAR,Administrative measure,Central Bank of Hungary,Magyar Takarékszövetkezeti Bank Zártkörűen Működő Részvénytársaság,,04/07/2018
19/04/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,25/04/2018
13/04/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,07/05/2018
13/04/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,07/05/2018
09/04/2018,FINLAND,MiFID,Administrative sanction,Finanssivalvonta (FSA),"Nordea Bank AB (publ), Finnish Branch",,12/06/2018
05/04/2018,AUSTRIA,UCITS,Administrative sanction and measure,Austrian Financial Market Authority (FMA),3 Banken-Generali Investment-Gesellschaft m.b.H.,09/05/2023,24/10/2018
05/04/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,07/05/2018
29/03/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,24/10/2018
28/03/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,07/05/2018
27/03/2018,IRELAND,MiFID,Administrative sanction,Central Bank of Ireland (CBI),Bastow Charleton,,03/04/2018
19/03/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,07/05/2018
14/03/2018,SPAIN,MAD,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"GESTION DE PATRIMONIOS MOBILIARIOS, SOCIEDAD DE VALORES, S.A.",14/03/2023,21/10/2019
13/03/2018,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"GESTION DE PATRIMONIOS MOBILIARIOS, SOCIEDAD DE VALORES, S.A.",13/03/2023,16/04/2018
13/03/2018,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"GESTION DE PATRIMONIOS MOBILIARIOS, SOCIEDAD DE VALORES, S.A.",13/03/2023,16/04/2018
06/03/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Meadows Financial,,21/11/2018
06/03/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Loeb-Benson,,21/11/2018
06/03/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Schalom and Gerson / SG Finance,,21/11/2018
06/03/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Hollis Kookmin Financial,,21/11/2018
06/03/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,27/09/2018
06/03/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Lambert & Sons  Incorporated,,21/11/2018
06/03/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),Burton Mills,,21/11/2018
02/03/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,16/03/2018
02/03/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,16/03/2018
01/03/2018,HUNGARY,MiFID,Administrative measure,Central Bank of Hungary,CIB Bank Zrt.,,04/07/2018
21/02/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,27/09/2018
21/02/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,27/09/2018
19/02/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,26/02/2018
13/02/2018,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,13/02/2023,14/02/2020
13/02/2018,SPAIN,MAD,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"AURIGA GLOBAL INVESTORS SOCIEDAD DE VALORES, S.A.",13/02/2023,02/12/2019
12/02/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,19/02/2018
12/02/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,19/02/2018
06/02/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,23/02/2018
06/02/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,23/02/2018
06/02/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,23/02/2018
02/02/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,19/02/2018
31/01/2018,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,05/02/2018
29/01/2018,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,23/02/2018
26/01/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,09/02/2018
26/01/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,09/02/2018
26/01/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,24/10/2018
23/01/2018,BELGIUM,MiFID,Administrative measure,Financial Services and Markets Authority (FSMA),International Markets Live LTD,,21/11/2018
16/01/2018,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,24/10/2018
15/01/2018,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,15/01/2023,12/03/2018
22/12/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,28/03/2018
20/12/2017,LUXEMBOURG,UCITS,Administrative sanction and measure,Commission de Surveillance du Secteur Financier (CSSF),VICTORY ASSET MANAGEMENT S.A.,20/12/2022,08/01/2018
20/12/2017,LUXEMBOURG,UCITS,Administrative sanction and measure,Commission de Surveillance du Secteur Financier (CSSF),PURE CAPITAL S.A.,20/12/2022,08/01/2018
18/12/2017,IRELAND,MiFID,Administrative sanction,Central Bank of Ireland (CBI),BCP Asset Management DAC,,25/01/2018
15/12/2017,SPAIN,UCITS,Administrative sanction and measure,Comisión Nacional del Mercado de Valores (CNMV),"EUROAGENTES GESTION, S.A., S.G.I.I.C.",15/12/2022,12/03/2018
15/12/2017,SPAIN,UCITS,Administrative sanction and measure,Comisión Nacional del Mercado de Valores (CNMV),"EUROAGENTES GESTION, S.A., S.G.I.I.C.",15/12/2022,12/03/2018
15/12/2017,SPAIN,UCITS,Administrative sanction and measure,Comisión Nacional del Mercado de Valores (CNMV),"EUROAGENTES GESTION, S.A., S.G.I.I.C.",15/12/2022,12/03/2018
14/12/2017,FRANCE,MiFID,Administrative sanction,Autorité des Marchés Financiers (AMF),Kepler Cheuvreux,14/12/2022,26/01/2018
13/12/2017,FRANCE,UCITS,Administrative sanction and measure,Autorité des Marchés Financiers (AMF),TRECENTO AM,13/12/2022,26/01/2018
08/12/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,09/02/2018
08/12/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,09/02/2018
05/12/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,05/02/2018
29/11/2017,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,29/11/2022,02/03/2018
28/11/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,09/02/2018
28/11/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,09/02/2018
28/11/2017,HUNGARY,UCITS,Administrative sanction and measure,Central Bank of Hungary,DIVINUS Befektetési Alapkezelő Zártkörűen Működő Rt.,,14/03/2018
28/11/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,09/02/2018
28/11/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,09/02/2018
28/11/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,24/10/2018
28/11/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,09/02/2018
28/11/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,09/02/2018
13/11/2017,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),,,07/03/2018
13/11/2017,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),ICFD LTD,,26/02/2018
02/11/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,05/02/2018
02/11/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,05/02/2018
31/10/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,27/02/2018
31/10/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,24/10/2018
31/10/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,24/10/2018
31/10/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,24/10/2018
31/10/2017,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,31/10/2022,20/12/2017
31/10/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,05/02/2018
30/10/2017,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"AURIGA GLOBAL INVESTORS SOCIEDAD DE VALORES, S.A.",30/10/2022,20/11/2017
30/10/2017,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"AURIGA GLOBAL INVESTORS SOCIEDAD DE VALORES, S.A.",30/10/2022,20/11/2017
30/10/2017,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"JULIUS BAER AGENCIA DE VALORES, S.A.",30/10/2022,22/11/2017
30/10/2017,SPAIN,MAD,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"MERCADOS Y GESTION DE VALORES, AGENCIA DE VALORES, S.A.",30/10/2022,23/08/2019
30/10/2017,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,30/10/2022,20/12/2017
30/10/2017,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"LIVEMARKETS EAF, S.A.",30/10/2022,26/08/2019
30/10/2017,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"LIVEMARKETS EAF, S.A.",30/10/2022,26/08/2019
30/10/2017,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"LIVEMARKETS EAF, S.A.",30/10/2022,26/08/2019
30/10/2017,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"LIVEMARKETS EAF, S.A.",30/10/2022,26/08/2019
24/10/2017,BELGIUM,UCITS,Administrative sanction and measure,Financial Services and Markets Authority (FSMA),PURE CAPITAL S.A.,,14/03/2019
23/10/2017,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),RELIANTCO INVESTMENTS LTD,,26/02/2018
20/10/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,05/02/2018
20/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,23/10/2017
20/10/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,05/02/2018
20/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,23/10/2017
19/10/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,05/02/2018
18/10/2017,UNITED KINGDOM,EMIR,EMIR Penalty,Financial Conduct Authority (FCA),Merrill Lynch International,,07/09/2018
16/10/2017,HUNGARY,MiFID,Administrative sanction,Central Bank of Hungary,CODEX Tőzsdeügynökség és Értéktár Zártkörűen Működő Rt.,,14/03/2018
12/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,13/10/2017
12/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,13/10/2017
12/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,13/10/2017
12/10/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,09/02/2018
12/10/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,24/10/2018
12/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,13/10/2017
12/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,13/10/2017
12/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,13/10/2017
12/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,13/10/2017
12/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,13/10/2017
12/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,13/10/2017
12/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,13/10/2017
12/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,13/10/2017
12/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,13/10/2017
05/10/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,09/10/2017
04/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,23/10/2017
04/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,23/10/2017
04/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,23/10/2017
04/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,23/10/2017
04/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,23/10/2017
04/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,23/10/2017
04/10/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,23/10/2017
25/09/2017,HUNGARY,UCITS,Administrative sanction and measure,Central Bank of Hungary,Accorde Befektetési Alapkezelő Zártkörűen Működő Részvénytársaság,,21/02/2018
22/09/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,25/09/2017
18/09/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,24/10/2018
18/09/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,24/10/2018
18/09/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,24/10/2018
18/09/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,24/10/2018
18/09/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,27/02/2018
18/09/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,27/02/2018
15/09/2017,NORWAY,MiFID,Administrative sanction,Norwegian Financial Supervisory Authority,NORDIC SECURITIES AS,,10/04/2018
06/09/2017,HUNGARY,MiFID,Administrative sanction,Central Bank of Hungary,STRATEGON Értékpapír Zártkörűen Működő Rt.,,14/03/2018
01/09/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,03/10/2017
01/09/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,03/10/2017
01/09/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,11/04/2019
31/08/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,11/09/2017
21/08/2017,NETHERLANDS,MiFID,Administrative sanction,Netherlands Authority for the Financial Markets (AFM),Het Effectenhuis Commissionairs B.V.,,04/10/2017
10/08/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,04/09/2017
27/07/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,03/10/2017
27/07/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,03/10/2017
27/07/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,03/10/2017
27/07/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,03/10/2017
27/07/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,03/10/2017
26/07/2017,ITALY,EMIR,EMIR Penalty,covip,fondo pensione,,16/01/2019
20/07/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,31/07/2017
20/07/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,31/07/2017
06/07/2017,NETHERLANDS,MiFID,Administrative sanction,Netherlands Authority for the Financial Markets (AFM),ABN Amro Bank N.V.,,18/10/2017
03/07/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,07/11/2017
03/07/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),CYCLOS SECURITIES S.A.,,07/11/2017
03/07/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,25/07/2017
26/06/2017,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),,,07/03/2018
21/06/2017,ITALY,EMIR,EMIR Penalty,covip,fondo pensione,,16/01/2019
21/06/2017,ITALY,EMIR,EMIR Penalty,covip,fondo pensione,,16/01/2019
21/06/2017,ITALY,EMIR,EMIR Penalty,covip,fondo pensione,,16/01/2019
20/06/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,04/04/2018
19/06/2017,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),LIONSMAN CAPITAL MARKETS (CYPRUS) LTD,,26/02/2018
14/06/2017,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,14/06/2022,27/06/2019
14/06/2017,SPAIN,MAD,Not requested by ESMA when submitted,Comisión Nacional del Mercado de Valores (CNMV),"GVC GAESCO VALORES S.V., S.A.",14/06/2022,25/07/2017
14/06/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,19/06/2017
09/06/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,19/06/2017
08/06/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,20/06/2017
08/06/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,20/06/2017
08/06/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,20/06/2017
08/06/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,20/06/2017
19/05/2017,NETHERLANDS,MiFID,Administrative sanction,Netherlands Authority for the Financial Markets (AFM),Florentis Verzekeringen N.V.,,24/10/2017
15/05/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,19/05/2017
15/05/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,19/05/2017
15/05/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,19/05/2017
15/05/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,19/05/2017
15/05/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,19/05/2017
15/05/2017,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,19/05/2017
15/05/2017,HUNGARY,MiFID,Administrative sanction,Central Bank of Hungary,QUANTIS Alpha Befektetési Zártkörűen Működő Rt.,,21/02/2018
05/05/2017,SLOVAKIA,MiFID,Administrative sanction,National Bank of Slovakia (NBS),"Infinity ELITE, o.c.p., a.s.",,15/05/2017
25/04/2017,POLAND,MiFID,Administrative measure,Polish Financial Supervisory Authority (KNF),HFT Brokers Dom Maklerski S.A.,,09/10/2019
24/04/2017,SWEDEN,MiFID,Administrative sanction,Finansinspektionen (FI),FoF Asset Management i Norden AB,,08/05/2017
19/04/2017,HUNGARY,UCITS,Administrative sanction and measure,Central Bank of Hungary,Pannónia CIG Alapkezelő Zártkörűen Működő Részvénytársaság,,06/06/2017
17/04/2017,HUNGARY,MiFID,Administrative sanction,Central Bank of Hungary,Magyar Posta Befektetési Szolgáltató Zártkörűen Működő Rt.,,06/06/2017
17/04/2017,MALTA,UCITS,Administrative sanction and measure,Malta Financial Services Authority (MFSA),TEMPLE ASSET MANAGEMENT LIMITED,,18/04/2017
05/04/2017,HUNGARY,MiFID,Administrative sanction,Central Bank of Hungary,Solar Capital Markets Értékpapír Kereskedelmi Zártkörűen Működő Rt.,,06/06/2017
03/04/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,10/04/2017
30/03/2017,AUSTRIA,MiFID,Administrative sanction,Austrian Financial Market Authority (FMA),Schoellerbank Aktiengesellschaft,30/07/2023,24/10/2018
29/03/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,03/04/2017
27/03/2017,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),,,07/03/2018
21/03/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,27/04/2017
21/03/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,06/04/2017
21/03/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,06/04/2017
13/03/2017,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),UR TRADE FIX LTD,,26/02/2018
08/03/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,13/03/2017
08/03/2017,SPAIN,UCITS,Administrative sanction and measure,Comisión Nacional del Mercado de Valores (CNMV),"EDM GESTION, SOCIEDAD ANONIMA UNIPERSONAL, S.G.I.I.C.",08/03/2022,14/06/2017
07/03/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,13/03/2017
07/03/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,13/03/2017
06/03/2017,FINLAND,MiFID,Administrative sanction,Finanssivalvonta (FSA),Helsinki Area Cooperative Bank,,05/05/2017
06/03/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),B.H.N.V. ONLINE LTD,,05/02/2018
06/03/2017,FINLAND,MiFID,Administrative sanction,Finanssivalvonta (FSA),Alexandria Pankkiiriliike Oyj,,05/05/2017
06/03/2017,FINLAND,MiFID,Administrative sanction,Finanssivalvonta (FSA),Titanium Investment Services Ltd,,05/05/2017
06/03/2017,FINLAND,MiFID,Administrative sanction,Finanssivalvonta (FSA),"Nordea Bank AB (publ), Finnish Branch",,05/05/2017
23/02/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,06/04/2017
23/02/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,07/11/2017
22/02/2017,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,27/02/2017
22/02/2017,FRANCE,UCITS,Administrative sanction and measure,Autorité des Marchés Financiers (AMF),LA FINANCIERE DESSELLIGNY SA,22/02/2022,20/02/2020
21/02/2017,SPAIN,UCITS,Administrative sanction and measure,Comisión Nacional del Mercado de Valores (CNMV),"GESIURIS ASSET MANAGEMENT, SGIIC, S.A.",21/02/2022,28/04/2017
17/02/2017,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,27/07/2017
16/02/2017,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,27/07/2017
14/02/2017,IRELAND,MiFID,Administrative sanction,Central Bank of Ireland (CBI),Kinsale Capital Management Limited,,02/03/2017
13/02/2017,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),,,07/03/2018
10/02/2017,HUNGARY,MiFID,Administrative sanction,Central Bank of Hungary,Solar Capital Markets Értékpapír Kereskedelmi Zártkörűen Működő Rt.,,06/06/2017
06/02/2017,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),,,07/03/2018
06/02/2017,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),,,06/03/2018
06/02/2017,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),,,07/03/2018
03/02/2017,ITALY,MiFID,Administrative sanction,BANCA D'ITALIA,INDEPENDENT PRIVATE BANKERS SIM SPA (IN LIQUIDAZIONE COATTA AMMINISTRATIVA),,14/03/2017
23/01/2017,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),Prior Capital Cy Ltd,,26/02/2018
13/01/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,17/01/2017
13/01/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,17/01/2017
13/01/2017,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,16/03/2018
12/01/2017,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
29/12/2016,NETHERLANDS,MiFID,Administrative sanction,Netherlands Authority for the Financial Markets (AFM),"Loohuis, mr. E.E.M.P.",,18/10/2017
29/12/2016,NETHERLANDS,MiFID,Administrative sanction,Netherlands Authority for the Financial Markets (AFM),ABF Adviesgroep B.V.,,18/10/2017
19/12/2016,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),BDSWISS HOLDING PLC,,26/02/2018
16/12/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
07/12/2016,FRANCE,MiFID,Administrative sanction,Autorité des Marchés Financiers (AMF),Banque Transatlantique S.A.,07/12/2021,02/10/2017
05/12/2016,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),NOVOX CAPITAL LTD,,28/02/2018
30/11/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,27/07/2017
29/11/2016,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,05/12/2016
28/11/2016,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),COLMEX PRO LTD,,28/02/2018
26/11/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
25/11/2016,NETHERLANDS,MiFID,Administrative sanction,Netherlands Authority for the Financial Markets (AFM),"Crol, mr. E.J.",,05/10/2017
24/11/2016,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,24/11/2021,20/12/2017
24/11/2016,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,24/11/2021,20/12/2017
24/11/2016,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,24/11/2021,20/12/2017
22/11/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,06/12/2016
22/11/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,06/12/2016
22/11/2016,CZECH REPUBLIC,MiFID,Administrative sanction,Czech National Bank (CNB),"J & T BANKA, a.s.",,29/03/2018
22/11/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),PANTELAKIS SECURITIES S.A.,,08/12/2016
21/11/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
17/11/2016,FRANCE,MiFID,Administrative sanction,Autorité des Marchés Financiers (AMF),LMBO,17/11/2021,02/10/2017
15/11/2016,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,19/12/2016
14/11/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
09/11/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
07/11/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,23/11/2016
07/11/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,23/11/2016
07/11/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),CFS SECURITIES & INVESTMENT SERVICES S.A.,,23/11/2016
27/10/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),MIDAS FINANCIAL SECURITIES S.A.,,15/11/2016
27/10/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),NATIONAL SECURITIES S.A.,,15/11/2016
27/10/2016,SPAIN,MAD,Not requested by ESMA when submitted,Comisión Nacional del Mercado de Valores (CNMV),"RENTA 4, S.A. S.V.",27/10/2021,17/11/2016
27/10/2016,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),,27/10/2021,20/12/2017
27/10/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),PIRAEUS SECURITIES S.A.,,15/11/2016
19/10/2016,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,24/10/2016
18/10/2016,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),FERROFORTIA LIMITED,,24/10/2016
18/10/2016,SPAIN,MAD,Not requested by ESMA when submitted,Comisión Nacional del Mercado de Valores (CNMV),"AHORRO CORPORACION FINANCIERA, S.V., S.A.",18/10/2021,03/11/2016
12/10/2016,FRANCE,MiFID,Administrative sanction,Autorité des Marchés Financiers (AMF),,12/10/2021,02/10/2017
11/10/2016,IRELAND,MiFID,Administrative sanction,Central Bank of Ireland (CBI),Capita Life and Pensions Services (Ireland) Limited,,17/10/2016
06/10/2016,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,10/10/2016
06/10/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,15/11/2016
23/09/2016,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),UP & DOWN MARKETING LTD,,03/10/2016
16/09/2016,SPAIN,UCITS,Administrative sanction and measure,Comisión Nacional del Mercado de Valores (CNMV),"ROLNIK CAPITAL OWNERS, SGIIC, S.A.",16/09/2021,14/10/2016
16/09/2016,SPAIN,UCITS,Administrative sanction and measure,Comisión Nacional del Mercado de Valores (CNMV),"ROLNIK CAPITAL OWNERS, SGIIC, S.A.",16/09/2021,14/10/2016
05/09/2016,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),OPTIONRALLY FINANCIAL SERVICES LTD,,28/02/2018
05/09/2016,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),IQ OPTION EUROPE LTD,,28/02/2018
01/09/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
31/08/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,23/09/2016
08/08/2016,UNITED KINGDOM,MiFID,Administrative sanction,Financial Conduct Authority (FCA),Cenkos Securities PLC,,22/08/2016
04/08/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,09/08/2016
04/08/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,09/08/2016
04/08/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,09/08/2016
04/08/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,09/08/2016
01/08/2016,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),HF MARKETS (EUROPE) LTD,,28/02/2018
21/07/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,21/07/2016
21/07/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,21/07/2016
21/07/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,21/07/2016
21/07/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,21/07/2016
18/07/2016,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,25/07/2016
18/07/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
15/07/2016,ITALY,MiFID,Administrative sanction,BANCA D'ITALIA,ARIANNA SIM S.P.A. (IN LIQUIDAZIONE COATTA AMMINISTRATIVA),,28/02/2017
14/07/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,23/09/2016
11/07/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,11/07/2016
11/07/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,11/07/2016
11/07/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,11/07/2016
06/07/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
05/07/2016,POLAND,MiFID,Administrative sanction,Polish Financial Supervisory Authority (KNF),,,14/02/2017
01/07/2016,NETHERLANDS,MiFID,Administrative sanction,Netherlands Authority for the Financial Markets (AFM),Binck Bank N.V.,,18/10/2017
22/06/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
21/06/2016,FRANCE,MiFID,Administrative sanction,Autorité des Marchés Financiers (AMF),La Banque Postale,21/06/2021,24/06/2016
21/06/2016,POLAND,MiFID,Administrative sanction,Polish Financial Supervisory Authority (KNF),NOBLE Securities SA,,08/03/2017
17/06/2016,CZECH REPUBLIC,UCITS,Administrative sanction and measure,Czech National Bank (CNB),"Generali Investments CEE, investiční společnost, a.s.",,28/07/2016
16/06/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
16/06/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,23/09/2016
16/06/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),PEGASUS SECURITIES S.A.,,23/09/2016
09/06/2016,SLOVAKIA,MiFID,Administrative sanction,National Bank of Slovakia (NBS),"Cornill Management, o.c.p., a.s.",,16/06/2016
06/06/2016,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),B.O. TRADEFINANCIALS LTD,,28/02/2018
31/05/2016,CZECH REPUBLIC,MiFID,Administrative sanction,Czech National Bank (CNB),"HighSky Brokers, a.s.",,29/03/2018
30/05/2016,LITHUANIA,MiFID,Administrative sanction,Bank of Lithuania (LSC),UAB FMĮ "Orion Securities",,23/09/2016
26/05/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
24/05/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
24/05/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
24/05/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
24/05/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
24/05/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
24/05/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
24/05/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
18/05/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),TRIPLE A EXPERTS S.A.,,23/09/2016
18/05/2016,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,30/05/2016
18/05/2016,CZECH REPUBLIC,UCITS,Administrative sanction and measure,Czech National Bank (CNB),AXA investiční společnost a.s.,,28/07/2016
17/05/2016,SPAIN,MiFID,Administrative sanction,Comisión Nacional del Mercado de Valores (CNMV),"MERCADOS Y GESTION DE VALORES, AGENCIA DE VALORES, S.A.",17/05/2021,06/04/2019
16/05/2016,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,30/05/2016
10/05/2016,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,16/05/2016
04/05/2016,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,16/05/2016
27/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
27/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
27/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
27/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
27/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
27/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
27/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
27/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
27/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
25/04/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
25/04/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
25/04/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
22/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
22/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
22/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
22/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
22/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
21/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
21/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
21/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
21/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
21/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
21/04/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/06/2016
15/04/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
14/04/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
14/04/2016,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,18/04/2016
13/04/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
13/04/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
06/04/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
31/03/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,11/04/2016
31/03/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),PEGASUS SECURITIES S.A.,,11/04/2016
31/03/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
31/03/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,11/04/2016
29/03/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
25/03/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
24/03/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
16/03/2016,NETHERLANDS,MiFID,Administrative sanction,Netherlands Authority for the Financial Markets (AFM),Binck Bank,,20/09/2017
08/03/2016,MALTA,MiFID,Administrative sanction,Malta Financial Services Authority (MFSA),FX-CAM Consulting and Advertisement Ltd,,03/04/2017
08/03/2016,SPAIN,UCITS,Administrative sanction and measure,Comisión Nacional del Mercado de Valores (CNMV),"GESTIFONSA, S.G.I.I.C., S.A.",08/03/2021,14/04/2016
07/03/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
04/03/2016,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,05/12/2017
29/02/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
25/02/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
24/02/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,15/04/2016
24/02/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,15/04/2016
22/02/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
08/02/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,08/02/2016
08/02/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,08/02/2016
08/02/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,08/02/2016
08/02/2016,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,08/02/2016
08/02/2016,LITHUANIA,MiFID,Administrative sanction,Bank of Lithuania (LSC),Macte Invest FM AB,,22/02/2016
01/02/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
28/01/2016,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,01/02/2016
27/01/2016,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,08/02/2016
21/01/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),EPIC  S.A.,,11/04/2016
21/01/2016,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),SOLIDUS SECURITIES S.A.,,11/04/2016
19/01/2016,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,01/02/2016
18/01/2016,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),OUROBOROS DERIVATIVES TRADING LTD,,28/02/2018
18/01/2016,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),BANC DE BINARY LTD,,06/03/2018
12/01/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,27/07/2017
11/01/2016,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
11/01/2016,FRANCE,MiFID,Administrative sanction,Autorité des Marchés Financiers (AMF),Société générale,11/01/2021,18/01/2016
11/01/2016,FRANCE,MiFID,Administrative sanction,Autorité des Marchés Financiers (AMF),TSAF OTC,11/01/2021,18/01/2016
11/01/2016,FRANCE,MiFID,Administrative sanction,Autorité des Marchés Financiers (AMF),Bryan Garnier & co limited,11/01/2021,18/01/2016
29/12/2015,HUNGARY,MiFID,Administrative sanction,Central Bank of Hungary,QUANTIS Alpha Befektetési Zártkörűen Működő Rt.,,05/02/2016
23/12/2015,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,28/12/2015
18/12/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,05/02/2016
18/12/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,05/02/2016
18/12/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,05/02/2016
18/12/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,05/02/2016
18/12/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,05/02/2016
16/12/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
15/12/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
15/12/2015,IRELAND,MiFID,Administrative sanction,Central Bank of Ireland (CBI),Computershare Investor Services (Ireland) Limited,,17/12/2015
11/12/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
10/12/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,18/12/2015
10/12/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,18/12/2015
10/12/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,18/12/2015
10/12/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,18/12/2015
10/12/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,18/12/2015
10/12/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,18/12/2015
10/12/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,18/12/2015
10/12/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,18/12/2015
08/12/2015,IRELAND,MiFID,Administrative sanction,Central Bank of Ireland (CBI),Octagon Online Services Limited,,16/12/2015
02/12/2015,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,07/12/2015
01/12/2015,IRELAND,MiFID,Administrative sanction,Central Bank of Ireland (CBI),DMS Market Access Limited,,14/12/2015
26/11/2015,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,21/12/2015
25/11/2015,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,07/12/2015
18/11/2015,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),IRONFX GLOBAL LTD,,06/03/2018
13/11/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,20/11/2015
13/11/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,20/11/2015
13/11/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,20/11/2015
10/11/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
10/11/2015,SLOVAKIA,UCITS,Administrative sanction and measure,National Bank of Slovakia (NBS),"VÚB Asset Management, správ. spol., a.s.",,11/12/2015
05/11/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
05/11/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
05/11/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
05/11/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
05/11/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
05/11/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
05/11/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
05/11/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
05/11/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
05/11/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
04/11/2015,HUNGARY,UCITS,Administrative sanction and measure,Central Bank of Hungary,Globeserv Befektetési Alapkezelő Zártkörűen Működő Rt.,,20/11/2015
04/11/2015,HUNGARY,UCITS,Administrative sanction and measure,Central Bank of Hungary,QUAESTOR Befektetési Alapkezelő Zártkörűen Működő Rt.,,20/11/2015
30/10/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,08/12/2015
30/10/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,31/07/2017
30/10/2015,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,16/11/2015
30/10/2015,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,16/11/2015
30/10/2015,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),CICCOLELLA SPA,,16/11/2015
30/10/2015,MALTA,MiFID,Administrative sanction,Malta Financial Services Authority (MFSA),COSMIC FINANCIAL SERVICES (MALTA) LIMITED,,03/11/2015
28/10/2015,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,16/11/2015
27/10/2015,HUNGARY,MiFID,Administrative sanction,Central Bank of Hungary,EQUILOR Befektetési Zártkörűen Működő Részvénytársaság,,20/11/2015
23/10/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,08/02/2016
23/10/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,08/02/2016
23/10/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,08/02/2016
23/10/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,08/02/2016
23/10/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,19/11/2015
23/10/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,26/11/2015
23/10/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,08/02/2016
23/10/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,08/02/2016
23/10/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,08/02/2016
22/10/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,24/11/2015
20/10/2015,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,16/11/2015
20/10/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,19/11/2015
20/10/2015,NETHERLANDS,MiFID,Administrative sanction,Netherlands Authority for the Financial Markets (AFM),ABN Amro Bank N.V.,,18/10/2017
12/10/2015,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),G.A. PERVANAS SECURITIES AND INVESTMENT SERVICES COMPANY S.A.,,30/10/2015
12/10/2015,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),RODELER LIMITED,,27/02/2018
12/10/2015,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),DEPAHO LTD,,27/02/2018
09/10/2015,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,16/11/2015
29/09/2015,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,16/11/2015
29/09/2015,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),,,06/03/2018
29/09/2015,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),RELIANTCO INVESTMENTS LTD,,27/02/2018
22/09/2015,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,28/09/2015
21/09/2015,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),WGM Services Ltd,,27/02/2018
19/09/2015,NETHERLANDS,MiFID,Administrative sanction,Netherlands Authority for the Financial Markets (AFM),E2MA Consumer Profiling B.V.,,18/10/2017
17/09/2015,GREECE,MAD,Not requested by ESMA when submitted,Hellenic Capital Market Commission (HCMC),CRONOS FINANCIAL SERVICES S.A.,,23/09/2015
17/09/2015,GREECE,MAD,Not requested by ESMA when submitted,Hellenic Capital Market Commission (HCMC),MERIT SECURITIES A.E.P.E.Y.,,23/09/2015
17/09/2015,GREECE,MAD,Not requested by ESMA when submitted,Hellenic Capital Market Commission (HCMC),SOLIDUS SECURITIES S.A.,,23/09/2015
10/09/2015,NETHERLANDS,MiFID,Administrative sanction,Netherlands Authority for the Financial Markets (AFM),Gooisch Effectenhuis,,18/10/2017
08/09/2015,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,05/10/2015
01/09/2015,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,05/10/2015
27/08/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,20/11/2015
27/08/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,20/11/2015
27/08/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,20/11/2015
14/08/2015,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,05/10/2015
03/08/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,07/08/2015
03/08/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,07/08/2015
03/08/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,07/08/2015
03/08/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,07/08/2015
03/08/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,07/08/2015
03/08/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,07/08/2015
03/08/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,07/08/2015
03/08/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,07/08/2015
03/08/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,07/08/2015
03/08/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,07/08/2015
03/08/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,07/08/2015
03/08/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,07/08/2015
14/07/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,04/08/2015
13/07/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,19/08/2015
13/07/2015,SLOVAKIA,MiFID,Administrative sanction,National Bank of Slovakia (NBS),"JELLYFISH o.c.p., a.s.",,23/07/2015
09/07/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,04/08/2015
09/07/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,17/07/2015
09/07/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,17/07/2015
09/07/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,17/07/2015
09/07/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,17/07/2015
09/07/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,17/07/2015
06/07/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,17/07/2015
06/07/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,17/07/2015
06/07/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,17/07/2015
02/07/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,04/08/2015
01/07/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,03/07/2015
30/06/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,04/08/2015
25/06/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,04/08/2015
24/06/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,04/08/2015
23/06/2015,CZECH REPUBLIC,MiFID,Administrative sanction,Czech National Bank (CNB),"Colosseum, a.s.",,14/09/2015
23/06/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,04/08/2015
16/06/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/07/2015
16/06/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/07/2015
16/06/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/07/2015
16/06/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/07/2015
16/06/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/07/2015
16/06/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/07/2015
16/06/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/07/2015
16/06/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/07/2015
16/06/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/07/2015
16/06/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/07/2015
11/06/2015,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,15/06/2015
11/06/2015,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,15/06/2015
11/06/2015,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),GUARDIAN TRUST SECURITIES S.A.,,15/06/2015
10/06/2015,CZECH REPUBLIC,MiFID,Administrative sanction,Czech National Bank (CNB),BH Securities a.s.,,14/09/2015
09/06/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
26/05/2015,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),ARDU PRIME S.A.,,02/06/2015
26/05/2015,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),MERIT SECURITIES A.E.P.E.Y.,,02/06/2015
26/05/2015,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),ALPHA FINANCE INVESTMENT SERVICES S.A.,,02/06/2015
26/05/2015,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),EUROTRUST INVESTMENT SERVICES S.A.,,02/06/2015
26/05/2015,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),GUARDIAN TRUST SECURITIES S.A.,,02/06/2015
21/05/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,03/07/2015
20/05/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,03/07/2015
20/05/2015,IRELAND,MiFID,Administrative sanction,Central Bank of Ireland (CBI),Bloxham,,04/06/2015
15/05/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,03/07/2015
13/05/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,03/07/2015
11/05/2015,SLOVAKIA,MiFID,Administrative sanction,National Bank of Slovakia (NBS),"ZENIT kapital o.c.p., a.s.",,19/06/2015
08/05/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
08/05/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
08/05/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
08/05/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
08/05/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
08/05/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
08/05/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
08/05/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
08/05/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,24/03/2016
23/04/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,19/05/2015
20/04/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/08/2015
16/04/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,03/07/2015
08/04/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,03/06/2015
07/04/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,20/05/2015
03/04/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,03/06/2015
03/04/2015,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,10/04/2017
27/03/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,20/05/2015
20/03/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,20/05/2015
20/03/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,20/05/2015
20/03/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,26/03/2015
17/03/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,19/03/2015
17/03/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,19/03/2015
17/03/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,19/03/2015
16/03/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,20/05/2015
13/03/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,02/04/2015
12/03/2015,NETHERLANDS,MiFID,Administrative sanction,Netherlands Authority for the Financial Markets (AFM),,,18/10/2017
12/03/2015,NETHERLANDS,MiFID,Administrative sanction,Netherlands Authority for the Financial Markets (AFM),AGA International B.V.,,18/10/2017
12/03/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,03/06/2015
06/03/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/03/2015
06/03/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/03/2015
06/03/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/03/2015
06/03/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/03/2015
06/03/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/03/2015
06/03/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/03/2015
04/03/2015,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,05/03/2015
04/03/2015,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,05/03/2015
04/03/2015,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,20/03/2015
25/02/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,18/03/2015
24/02/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/03/2015
24/02/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/03/2015
24/02/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/03/2015
24/02/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/03/2015
24/02/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/03/2015
24/02/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/03/2015
24/02/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/03/2015
24/02/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/03/2015
24/02/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/03/2015
24/02/2015,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,10/03/2015
23/02/2015,HUNGARY,MiFID,Administrative sanction,Central Bank of Hungary,,,27/02/2015
17/02/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,09/04/2015
28/01/2015,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,10/03/2015
19/01/2015,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),STAVROS EMM. LAVRENTAKIS SECURITIES S.A.,,28/01/2015
19/01/2015,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),ATLAS SECURITIES S.A.,,20/03/2015
19/01/2015,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),EUROXX SECURITIES S.A.,,28/01/2015
19/12/2014,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
17/12/2014,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
10/12/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,15/12/2014
09/12/2014,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,22/12/2014
05/12/2014,SWEDEN,MiFID,Administrative sanction,Finansinspektionen (FI),,,05/12/2014
05/12/2014,SWEDEN,MiFID,Administrative sanction,Finansinspektionen (FI),,,05/12/2014
05/12/2014,SWEDEN,MiFID,Administrative sanction,Finansinspektionen (FI),Investerum AB,,05/12/2014
03/12/2014,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
02/12/2014,NETHERLANDS,MiFID,Administrative sanction,Netherlands Authority for the Financial Markets (AFM),t Sorgh & Huis hodn Maesons,,18/10/2017
28/11/2014,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
27/11/2014,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
24/11/2014,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
18/11/2014,POLAND,MiFID,Administrative sanction,Polish Financial Supervisory Authority (KNF),,,14/02/2017
18/11/2014,SLOVAKIA,MiFID,Administrative sanction,National Bank of Slovakia (NBS),,,17/12/2014
14/11/2014,FINLAND,MiFID,Administrative sanction,Finanssivalvonta (FSA),Privanet Capital Markets Ltd,,16/12/2016
10/11/2014,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,05/10/2016
10/11/2014,HUNGARY,MiFID,Administrative sanction,Central Bank of Hungary,STRATEGON Értékpapír Zártkörűen Működő Rt.,,12/12/2014
05/11/2014,MALTA,MiFID,Administrative sanction,Malta Financial Services Authority (MFSA),COSMIC FINANCIAL SERVICES (MALTA) LIMITED,,05/11/2014
28/10/2014,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,03/11/2014
22/10/2014,SWEDEN,MiFID,Administrative sanction,Finansinspektionen (FI),B & P Fund Services Aktiebolag,,20/01/2015
15/10/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,23/10/2014
15/10/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,23/10/2014
15/10/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),SOLIDUS SECURITIES S.A.,,23/10/2014
15/10/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,23/10/2014
08/10/2014,HUNGARY,UCITS,Administrative sanction and measure,Central Bank of Hungary,CARION Befektetési Alapkezelő Zártkörűen Működő Rt.,,21/10/2014
07/10/2014,POLAND,MiFID,Administrative sanction,Polish Financial Supervisory Authority (KNF),CENTRALNY DOM MAKLERSKI PEKAO  SA,,08/03/2017
16/09/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,16/09/2014
16/09/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,16/09/2014
16/09/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,16/09/2014
16/09/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,16/09/2014
16/09/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,16/09/2014
11/09/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,19/09/2014
09/09/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,10/09/2014
09/09/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,10/09/2014
09/09/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),GUARDIAN TRUST SECURITIES S.A.,,10/09/2014
09/09/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),PRELIUM INVESTMENT SERVICES S.A.,,10/09/2014
01/09/2014,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,01/12/2014
29/08/2014,DENMARK,MAD,Not requested by ESMA when submitted,Finanstilsynet,Vestjysk Bank A/S,,10/11/2014
28/08/2014,NETHERLANDS,MiFID,Administrative sanction,Netherlands Authority for the Financial Markets (AFM),ABN Amro Bank N.V.,,18/10/2017
13/08/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,05/01/2015
13/08/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/08/2014
13/08/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,05/01/2015
13/08/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,05/01/2015
13/08/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,22/08/2014
11/08/2014,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,01/12/2014
07/08/2014,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,01/12/2014
29/07/2014,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,01/12/2014
23/07/2014,ITALY,MAD,Not requested by ESMA when submitted,Commissione Nazionale per le Societa e la Borsa (CONSOB),BLACKROCK INVESTMENT MANAGEMENT (UK) LIMITED,,10/06/2015
17/07/2014,HUNGARY,MiFID,Administrative sanction,Central Bank of Hungary,CENTRAL CREDIT Befektetési Tanácsadó Zrt.,,21/10/2014
03/07/2014,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
03/07/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,18/07/2014
03/07/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,18/07/2014
03/07/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,18/07/2014
03/07/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,18/07/2014
03/07/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),CAPITAL SECURITIES S.A.,,18/07/2014
02/07/2014,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,12/04/2019
26/06/2014,SWEDEN,MiFID,Administrative sanction,Finansinspektionen (FI),Skandiabanken Aktiebolag (publ),,03/07/2014
20/06/2014,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,01/12/2014
17/06/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),CRONOS FINANCIAL SERVICES S.A.,,02/07/2014
16/06/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,02/07/2014
04/06/2014,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,01/12/2014
30/05/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,04/06/2014
30/05/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,03/06/2014
30/05/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,DORINVEST S.A.,,03/06/2014
28/05/2014,CZECH REPUBLIC,MiFID,Administrative sanction,Czech National Bank (CNB),"HighSky Brokers, a.s.",,14/09/2015
22/05/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,28/05/2014
16/05/2014,IRELAND,MiFID,Administrative sanction,Central Bank of Ireland (CBI),Squared Financial Services Limited,,03/06/2015
02/05/2014,DENMARK,MiFID,Administrative sanction,Finanstilsynet,,,11/05/2017
29/04/2014,LITHUANIA,UCITS,Administrative sanction and measure,Bank of Lithuania (LSC),Dovre Forvaltning,,25/11/2014
15/04/2014,HUNGARY,UCITS,Administrative sanction and measure,Central Bank of Hungary,Biggeorge's-NV Ingatlan Befektetési Alapkezelő Zártkörűen Működő Rt.,,08/05/2014
24/03/2014,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,31/03/2014
21/03/2014,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,24/03/2014
21/03/2014,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,24/03/2014
18/03/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,25/03/2014
18/03/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,25/03/2014
18/03/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,25/03/2014
18/03/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,25/03/2014
04/03/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,14/03/2014
04/03/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,14/03/2014
04/03/2014,IRELAND,MiFID,Administrative sanction,Central Bank of Ireland (CBI),AVA Trade EU Limited,,03/06/2015
04/03/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,14/03/2014
04/03/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,14/03/2014
01/03/2014,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,17/03/2015
01/03/2014,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,30/03/2015
01/03/2014,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
27/02/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),EUROBANK EQUITIES INVESTMENT FIRM S.A.,,05/03/2014
20/02/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,25/02/2014
20/02/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,25/02/2014
20/02/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,25/02/2014
18/02/2014,DENMARK,MiFID,Administrative sanction,Finanstilsynet,Danske Bank A/S,,20/02/2014
14/02/2014,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,17/02/2014
12/02/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,13/02/2014
12/02/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,13/02/2014
12/02/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,13/02/2014
12/02/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,13/02/2014
12/02/2014,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,13/02/2014
11/02/2014,DENMARK,MiFID,Administrative sanction,Finanstilsynet,Nordea Bank Danmark A/S,,20/02/2014
04/02/2014,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,07/02/2014
03/02/2014,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
31/01/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,13/02/2014
28/01/2014,MALTA,MiFID,Administrative sanction,Malta Financial Services Authority (MFSA),FXDD MALTA LIMITED,,28/10/2014
16/01/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,13/02/2014
16/01/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,13/02/2014
16/01/2014,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),A. SARRIS INVESTMENT SERVICES S.A.,,18/02/2014
09/01/2014,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,07/02/2014
23/12/2013,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),ICFD LTD,,10/04/2014
13/12/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
13/12/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
13/12/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
13/12/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
05/12/2013,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,13/02/2014
03/12/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
03/12/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
03/12/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
03/12/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
03/12/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
02/12/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
26/11/2013,POLAND,MiFID,Administrative sanction,Polish Financial Supervisory Authority (KNF),,,14/02/2017
14/11/2013,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,07/02/2014
12/11/2013,SWEDEN,MiFID,Administrative sanction,Finansinspektionen (FI),Mangold Fondkommission AB,,26/02/2014
11/11/2013,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),,,06/03/2018
11/11/2013,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,10/02/2014
23/10/2013,DENMARK,MiFID,Administrative sanction,Finanstilsynet,Danske Andelskassers Bank A/S,,20/02/2014
22/10/2013,HUNGARY,MiFID,Administrative sanction,Central Bank of Hungary,BUDAPEST Hitel- és Fejlesztési Bank Zártkörűen Működő Részvénytársaság,,13/02/2014
15/10/2013,SWEDEN,MiFID,Administrative sanction,Finansinspektionen (FI),JRS Asset Management AB,,26/02/2014
11/10/2013,DENMARK,MAD,Not requested by ESMA when submitted,Finanstilsynet,Sparekassen Kronjylland,,07/03/2014
10/10/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
10/10/2013,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,10/02/2014
10/10/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
10/10/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
10/10/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
03/10/2013,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,10/02/2014
25/09/2013,HUNGARY,UCITS,Administrative sanction and measure,Hungarian Financial Supervisory Authority (PSZAF),Budapest Alapkezelő Zártkörűen Működő Rt.,,13/02/2014
20/09/2013,HUNGARY,UCITS,Administrative sanction and measure,Hungarian Financial Supervisory Authority (PSZAF),OTP Alapkezelő Zártkörűen Működő Részvénytársaság,,29/01/2014
11/09/2013,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,07/02/2014
05/09/2013,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),HARVEST FINANCIAL SERVICES LTD,,18/03/2014
04/09/2013,MALTA,MiFID,Administrative sanction,Malta Financial Services Authority (MFSA),ALL INVEST COMPANY LIMITED,,04/03/2014
29/08/2013,GREECE,MAD,Not requested by ESMA when submitted,Hellenic Capital Market Commission (HCMC),ARDU PRIME S.A.,,18/02/2014
27/08/2013,CZECH REPUBLIC,MiFID,Administrative sanction,Czech National Bank (CNB),"CYRRUS, a.s.",,08/09/2014
08/08/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/08/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/08/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/08/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/08/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/08/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/08/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
06/08/2013,FRANCE,MiFID,Administrative sanction,Autorité des Marchés Financiers (AMF),,,24/02/2014
01/08/2013,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),TRIPLE A EXPERTS S.A.,,18/02/2014
30/07/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
30/07/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
30/07/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
30/07/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
30/07/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
30/07/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
30/07/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
30/07/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
30/07/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
30/07/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
25/07/2013,FINLAND,MiFID,Administrative sanction,Finanssivalvonta (FSA),,,24/02/2014
19/07/2013,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),KDB Bank Európa Zártkörűen Működő Részvénytársaság,,13/02/2014
09/07/2013,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
09/07/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
09/07/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
05/07/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
05/07/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
26/06/2013,DENMARK,MiFID,Administrative sanction,Finanstilsynet,Totalbanken A/S,,20/02/2014
25/06/2013,IRELAND,MiFID,Administrative sanction,Central Bank of Ireland (CBI),Susquehanna International Securities Limited,,11/02/2014
19/06/2013,SWEDEN,MiFID,Administrative sanction,Finansinspektionen (FI),Statkraft Financial Energy AB,,26/02/2014
19/06/2013,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),EUROCORP INVESTMENT SERVICES S.A.,,18/02/2014
19/06/2013,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,10/02/2014
11/06/2013,SWEDEN,MiFID,Administrative sanction,Finansinspektionen (FI),Coeli AB,,26/02/2014
06/06/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
06/06/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
06/06/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
06/06/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
06/06/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
06/06/2013,NETHERLANDS,MiFID,Administrative sanction,Netherlands Authority for the Financial Markets (AFM),Global Return B.V.,,03/03/2014
06/06/2013,NETHERLANDS,MiFID,Administrative sanction,Netherlands Authority for the Financial Markets (AFM),Inhout Sales & More,,03/03/2014
06/06/2013,MALTA,MiFID,Administrative sanction,Malta Financial Services Authority (MFSA),ALL INVEST COMPANY LIMITED,,04/03/2014
03/06/2013,GREECE,UCITS,Administrative sanction and measure,Hellenic Capital Market Commission (HCMC),THETIS MUTUAL FUND MANAGEMENT COMPANY S.A.,,18/02/2014
28/05/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
27/05/2013,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),Random Capital Broker Zártkörűen Működő Rt.,,29/01/2014
27/05/2013,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),Random Capital Broker Zártkörűen Működő Rt.,,29/01/2014
24/05/2013,HUNGARY,UCITS,Administrative sanction and measure,Hungarian Financial Supervisory Authority (PSZAF),QUAESTOR Befektetési Alapkezelő Zártkörűen Működő Rt.,,29/01/2014
21/05/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
21/05/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
15/05/2013,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),UniCredit Bank Hungary Zrt.,,13/02/2014
08/05/2013,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,07/02/2014
03/05/2013,HUNGARY,UCITS,Administrative sanction and measure,Hungarian Financial Supervisory Authority (PSZAF),K&H Befektetési Alapkezelő Zártkörűen Működő Rt.,,29/01/2014
03/05/2013,HUNGARY,UCITS,Administrative sanction and measure,Hungarian Financial Supervisory Authority (PSZAF),K&H Befektetési Alapkezelő Zártkörűen Működő Rt.,,29/01/2014
02/05/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
02/05/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
26/04/2013,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),REÁLSZISZTÉMA Értékpapír-forgalmazó és Befektető Zártkörűen Működő Rt.,,29/01/2014
26/04/2013,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),Raiffeisen Bank Zártkörűen Működő Részvénytársaság,,29/01/2014
24/04/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
24/04/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
24/04/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
23/04/2013,POLAND,MiFID,Administrative sanction,Polish Financial Supervisory Authority (KNF),,,14/02/2017
22/04/2013,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),Magyar Takarékszövetkezeti Bank Zártkörűen Működő Részvénytársaság,,29/01/2014
22/04/2013,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),Magyar Takarékszövetkezeti Bank Zártkörűen Működő Részvénytársaság,,29/01/2014
19/04/2013,HUNGARY,UCITS,Administrative sanction and measure,Hungarian Financial Supervisory Authority (PSZAF),ACCESS Befektetési Alapkezelő Zártkörűen Működő Rt.,,29/01/2014
15/04/2013,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,07/02/2014
15/04/2013,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),GUARDIAN TRUST SECURITIES S.A.,,18/02/2014
15/04/2013,SWEDEN,MiFID,Administrative sanction,Finansinspektionen (FI),Ericsson & Partners Förmögenhetsförvaltning AB,,26/02/2014
15/04/2013,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),BETA SECURITIES S.A.,,10/02/2014
15/04/2013,SWEDEN,MiFID,Administrative sanction,Finansinspektionen (FI),Global Invest Finansförmedling Sverige AB,,26/02/2014
11/04/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
11/04/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
11/04/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/04/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/04/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/04/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/04/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/04/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
05/04/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
05/04/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
05/04/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
05/04/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
05/04/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
28/03/2013,SWEDEN,MiFID,Administrative sanction,Finansinspektionen (FI),Exceed Capital Sverige AB,,26/02/2014
27/03/2013,HUNGARY,UCITS,Administrative sanction and measure,Hungarian Financial Supervisory Authority (PSZAF),DIVINUS Befektetési Alapkezelő Zártkörűen Működő Rt.,,29/01/2014
26/03/2013,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),Raiffeisen Bank Zártkörűen Működő Részvénytársaság,,29/01/2014
25/03/2013,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,07/02/2014
22/03/2013,HUNGARY,UCITS,Administrative sanction and measure,Hungarian Financial Supervisory Authority (PSZAF),FirstFund Befektetési Alapkezelő Zártkörűen Működő Rt.,,29/01/2014
20/03/2013,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
01/03/2013,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
28/02/2013,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),,,06/02/2014
08/02/2013,HUNGARY,UCITS,Administrative sanction and measure,Hungarian Financial Supervisory Authority (PSZAF),Pioneer Befektetési Alapkezelő Zártkörűen Működő Rt.,,29/01/2014
07/02/2013,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,07/02/2014
04/02/2013,FINLAND,MiFID,Administrative sanction,Finanssivalvonta (FSA),,,24/02/2014
03/02/2013,HUNGARY,UCITS,Administrative sanction and measure,Hungarian Financial Supervisory Authority (PSZAF),ACCESS Befektetési Alapkezelő Zártkörűen Működő Rt.,,29/01/2014
31/01/2013,GREECE,MiFID,Administrative sanction,Hellenic Capital Market Commission (HCMC),GUARDIAN TRUST SECURITIES S.A.,,18/02/2014
30/01/2013,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,07/02/2014
14/01/2013,CYPRUS,MiFID,Administrative sanction,Cyprus Securities and Exchange Commission (CySEC),METROPOL (CYPRUS) LIMITED,,27/02/2014
08/01/2013,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
02/01/2013,DENMARK,MiFID,Administrative sanction,Finanstilsynet,Fondsmæglerselskabet StockRate Asset Management A/S,,20/02/2014
31/12/2012,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),AFX CAPITAL MARKETS LTD,,16/09/2014
12/12/2012,IRELAND,MAD,Not requested by ESMA when submitted,Central Bank of Ireland (CBI),Cantor Fitzgerald Ireland Limited,,11/02/2014
29/11/2012,MALTA,MiFID,Administrative sanction,Malta Financial Services Authority (MFSA),Zenith Financial Limited,,04/03/2014
29/11/2012,PORTUGAL,MiFID,Administrative sanction,Comissão do Mercado de Valores Mobiliários (CMVM),"Banco Invest, SA",,06/08/2014
22/11/2012,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),ERSTE BANK HUNGARY Zártkörűen Működő Részvénytársaság,,29/01/2014
12/11/2012,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,07/02/2014
01/11/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
01/11/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
01/11/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
01/11/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
25/10/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
25/10/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
15/10/2012,CZECH REPUBLIC,MiFID,Administrative sanction,Czech National Bank (CNB),"Colosseum, a.s.",,15/08/2014
11/10/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
11/10/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
11/10/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
11/10/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
11/10/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
05/10/2012,MALTA,MiFID,Administrative sanction,Malta Financial Services Authority (MFSA),Zenith Financial Limited,,04/03/2014
17/09/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
17/09/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
17/09/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
17/09/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
17/09/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
17/09/2012,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),MKB Bank Zrt.,,29/01/2014
14/09/2012,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),Erste Befektetési Zrt.,,29/01/2014
14/09/2012,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),Erste Befektetési Zrt.,,29/01/2014
12/09/2012,HUNGARY,UCITS,Administrative sanction and measure,Hungarian Financial Supervisory Authority (PSZAF),Pannónia CIG Alapkezelő Zártkörűen Működő Részvénytársaság,,29/01/2014
07/09/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
07/09/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
07/09/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
07/09/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
07/09/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
07/09/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
07/09/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
07/09/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
07/09/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
07/09/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
01/09/2012,CZECH REPUBLIC,MiFID,Administrative sanction,Czech National Bank (CNB),"J & T BANKA, a.s.",,29/01/2015
30/08/2012,HUNGARY,UCITS,Administrative sanction and measure,Hungarian Financial Supervisory Authority (PSZAF),Erste Alapkezelő Zártkörűen Működő Rt.,,29/01/2014
23/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
23/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
23/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
23/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
23/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
23/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
22/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
22/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
22/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
22/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
22/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
20/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
20/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
20/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
20/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
20/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
20/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
20/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
20/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
20/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
20/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
20/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
20/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
20/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
20/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
20/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
07/08/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,SSIF BRK FINANCIAL GROUP S.A.,,06/02/2014
18/07/2012,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),REÁLSZISZTÉMA Értékpapír-forgalmazó és Befektető Zártkörűen Működő Rt.,,29/01/2014
18/07/2012,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),REÁLSZISZTÉMA Értékpapír-forgalmazó és Befektető Zártkörűen Működő Rt.,,29/01/2014
17/07/2012,NETHERLANDS,MiFID,Administrative sanction,Netherlands Authority for the Financial Markets (AFM),ABR Financial B.V.,,24/10/2017
06/07/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
06/07/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
06/07/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
06/07/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
28/06/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
28/06/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
28/06/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
28/06/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
28/06/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
25/06/2012,CZECH REPUBLIC,MiFID,Administrative sanction,Czech National Bank (CNB),"CYRRUS, a.s.",,28/01/2015
25/06/2012,DENMARK,MiFID,Administrative sanction,Finanstilsynet,Demetra Fondsmæglerselskab A/S,,20/02/2014
20/06/2012,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),CEE Active Asset Management Zártkörűen Működő Rt.,,29/01/2014
15/06/2012,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),CIB Bank Zrt.,,13/02/2014
14/06/2012,FINLAND,MiFID,Administrative sanction,Finanssivalvonta (FSA),UB Securities Ltd,,22/06/2016
07/06/2012,DENMARK,MiFID,Administrative sanction,Finanstilsynet,Jyske Bank A/S,,20/02/2014
04/06/2012,MALTA,MiFID,Administrative sanction,Malta Financial Services Authority (MFSA),BANK OF VALLETTA PLC,,04/03/2014
31/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
31/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
31/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
31/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
31/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,SWISS CAPITAL S.A.,,06/02/2014
30/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,ELDAINVEST S.A.,,06/02/2014
29/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
29/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
29/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
25/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
25/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
25/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
25/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
25/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
25/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
25/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
25/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
25/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
25/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
25/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
22/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
22/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
22/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
22/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
10/05/2012,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),Solar Capital Markets Értékpapír Kereskedelmi Zártkörűen Működő Rt.,,29/01/2014
07/05/2012,FINLAND,MiFID,Administrative sanction,Finanssivalvonta (FSA),,,24/02/2014
03/05/2012,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
02/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
02/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
02/05/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
28/04/2012,CZECH REPUBLIC,MAD,Not requested by ESMA when submitted,Czech National Bank (CNB),"Komerční banka, a.s.",,29/01/2015
11/04/2012,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),Sberbank Magyarország Zártkörűen Működő Részvénytársaság,,29/01/2014
10/04/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
10/04/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
10/04/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
10/04/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
10/04/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
10/04/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
10/04/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
10/04/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
04/04/2012,ITALY,MiFID,Administrative sanction,Commissione Nazionale per le Societa e la Borsa (CONSOB),,,07/02/2014
28/03/2012,HUNGARY,UCITS,Administrative sanction and measure,Hungarian Financial Supervisory Authority (PSZAF),QUANTIS Investment Management Zártkörűen Működő Rt.,,29/01/2014
26/03/2012,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),Raiffeisen Bank Zártkörűen Működő Részvénytársaság,,29/01/2014
21/03/2012,IRELAND,MiFID,Administrative sanction,Central Bank of Ireland (CBI),Merrion Stockbrokers Limited,,11/02/2014
08/03/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/03/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/03/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/03/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/03/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/03/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/03/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/03/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/03/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/03/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
08/03/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
21/02/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
21/02/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
16/02/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
16/02/2012,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),STRATEGON Értékpapír Zártkörűen Működő Rt.,,29/01/2014
16/02/2012,HUNGARY,MiFID,Administrative sanction,Hungarian Financial Supervisory Authority (PSZAF),STRATEGON Értékpapír Zártkörűen Működő Rt.,,29/01/2014
16/02/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
16/02/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
10/02/2012,DENMARK,MiFID,Administrative sanction,Finanstilsynet,"Formuepleje A/S, Fondsmæglerselskab",,20/02/2014
07/02/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
07/02/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
07/02/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
31/01/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
31/01/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
31/01/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
31/01/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
31/01/2012,MALTA,MiFID,Administrative sanction,Malta Financial Services Authority (MFSA),BANK OF VALLETTA PLC,,04/03/2014
12/01/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
12/01/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
12/01/2012,ROMANIA,MiFID,Administrative sanction,Romanian Financial Supervisory Authority,,,06/02/2014
05/01/2012,MALTA,MiFID,Administrative sanction,Malta Financial Services Authority (MFSA),BANK OF VALLETTA PLC,,04/03/2014
22/12/2011,CZECH REPUBLIC,UCITS,Administrative sanction and measure,Czech National Bank (CNB),"ČSOB Asset Management, a.s., investiční společnost",,29/01/2015
06/12/2011,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
01/11/2011,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
27/10/2011,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
21/10/2011,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
21/10/2011,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
19/10/2011,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
12/10/2011,CZECH REPUBLIC,MiFID,Administrative sanction,Czech National Bank (CNB),Raiffeisenbank a.s.,,29/01/2015
01/09/2011,CZECH REPUBLIC,MiFID,Administrative sanction,Czech National Bank (CNB),"ATLANTIK finanční trhy, a.s.",,28/01/2015
09/08/2011,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
11/06/2011,CZECH REPUBLIC,MiFID,Administrative sanction,Czech National Bank (CNB),"ATLANTIK finanční trhy, a.s.",,28/01/2015
02/04/2011,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
02/04/2011,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
02/04/2011,BULGARIA,MiFID,Administrative sanction,Financial Services Authority (FSA),,,06/03/2015
22/02/2011,CZECH REPUBLIC,MiFID,Administrative sanction,Czech National Bank (CNB),"Patria Finance, a.s.",,29/01/2015
15/02/2011,CZECH REPUBLIC,MiFID,Administrative sanction,Czech National Bank (CNB),EFEKTA obchodník s cennými papíry a.s.,,28/01/2015
20/01/2011,NETHERLANDS,MiFID,Administrative sanction,Netherlands Authority for the Financial Markets (AFM),SNS Bank N.V.,,18/10/2017
04/01/2011,BULGARIA,MiFID,Administrative sanction,Financial Supervision Commission (FSC),,,06/03/2015
21/10/2010,CZECH REPUBLIC,MiFID,Administrative sanction,Czech National Bank (CNB),"WOOD & Company Financial Services, a.s.",,29/01/2015
05/10/2010,CZECH REPUBLIC,MAD,Not requested by ESMA when submitted,Czech National Bank (CNB),Raiffeisenbank a.s.,,29/01/2015
01/10/2010,CZECH REPUBLIC,MiFID,Administrative sanction,Czech National Bank (CNB),Raiffeisenbank a.s.,,29/01/2015
21/05/2010,CZECH REPUBLIC,MiFID,Administrative sanction,Czech National Bank (CNB),"UniCredit Bank Czech Republic and Slovakia, a.s.",,29/01/2015
07/04/2010,CZECH REPUBLIC,MiFID,Administrative sanction,Czech National Bank (CNB),"J & T BANKA, a.s.",,29/01/2015
22/03/2010,CZECH REPUBLIC,MiFID,Administrative sanction,Czech National Bank (CNB),"CYRRUS, a.s.",,28/01/2015