Disclaimer

ESMA has compiled the information on published sanctions on the basis of notifications made to it by the national competent authorities of the Member States [of the European Economic Area (EEA)]. This compilation has been carried out with utmost   care   and to the best of its ability and ESMA  endeavours to continuously update the information provided.

For further information please refer to the website of the competent national supervisory authorities.

In addition to the above provisions, attention is also drawn to the Legal Notice of the ESMA website.

Nevertheless, ESMA is not able to provide any representation or warranty that the available content is complete, accurate or up to date. The information on published sanctions is based on reports of such sanctions made by the national competent authorities of the relevant Member State to ESMA. The information made available may thus vary substantially according to the applicable provisions of the national law of the relevant Member State.


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


The portal offers machine-to-machine services to large scale organisations, exposing a set of web services for retrieval of data maintained in ESMA Registers repositories.

Sanctions

List of Sanctions

Results per page:

Sanction date Member state Sanction legal framework Sanction nature Sanctioning authority Sanctioned entity name Sanction expiration date Last update More info
02/12/2020 AUSTRIA UCITS Administrative sanction and measure Austrian Financial Market Authority (FMA) KEPLER-FONDS Kapitalanlag... 02/12/2025 04/01/2021 View Details
04/01/2021 AUSTRIA MiFID Administrative sanction Austrian Financial Market Authority (FMA) Bank Gutmann Aktiengesell... 04/01/2026 11/01/2021 View Details
08/03/2021 AUSTRIA UCITS Administrative sanction and measure Austrian Financial Market Authority (FMA) 3 Banken-Generali Investm... 08/03/2026 11/03/2021 View Details
30/11/2020 AUSTRIA UCITS Administrative sanction and measure Austrian Financial Market Authority (FMA) Amundi Austria GmbH 04/01/2026 09/02/2021 View Details
22/03/2019 AUSTRIA UCITS Administrative sanction and measure Austrian Financial Market Authority (FMA) Erste Asset Management Gm... 27/03/2024 09/04/2019 View Details
18/09/2018 AUSTRIA MiFID Administrative sanction Austrian Financial Market Authority (FMA) Raiffeisenlandesbank Vora... 24/06/2019 View Details
30/03/2017 AUSTRIA MiFID Administrative sanction Austrian Financial Market Authority (FMA) Schoellerbank Aktiengesel... 30/07/2023 24/10/2018 View Details
18/09/2018 AUSTRIA MiFID Administrative sanction Austrian Financial Market Authority (FMA) Raiffeisenlandesbank Burg... 24/06/2019 View Details
03/07/2018 BELGIUM MiFID Administrative measure Financial Services and Markets Authority (FSMA) GTX Options 21/11/2018 View Details
06/03/2018 BELGIUM MiFID Administrative measure Financial Services and Markets Authority (FSMA) Meadows Financial 21/11/2018 View Details

Items :   11-20 / 1,438

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