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
09/07/2019 BELGIUM MiFID Administrative measure Financial Services and Markets Authority (FSMA) www.deutschecapitalpartne... 17/07/2019 View Details
21/04/2020 BELGIUM MiFID Administrative measure Financial Services and Markets Authority (FSMA) www.marketsx.fr 06/05/2020 View Details
28/05/2019 BELGIUM MiFID Administrative measure Financial Services and Markets Authority (FSMA) Global Alliance Capital 24/06/2019 View Details
11/02/2020 BELGIUM MiFID Administrative measure Financial Services and Markets Authority (FSMA) www.aes-financial.com 07/04/2020 View Details
28/05/2019 BELGIUM MiFID Administrative measure Financial Services and Markets Authority (FSMA) Jonarnstein 24/06/2019 View Details
21/05/2019 BELGIUM MiFID Administrative measure Financial Services and Markets Authority (FSMA) OMCMarkets 24/06/2019 View Details
24/09/2019 BELGIUM MiFID Administrative measure Financial Services and Markets Authority (FSMA) Globalmarkets 04/10/2019 View Details
24/09/2019 BELGIUM MiFID Administrative measure Financial Services and Markets Authority (FSMA) Masonford 04/10/2019 View Details
22/10/2019 BELGIUM MiFID Administrative measure Financial Services and Markets Authority (FSMA) Trendinggraphs (Premium S... 25/10/2019 View Details
09/07/2019 BELGIUM MiFID Administrative measure Financial Services and Markets Authority (FSMA) www.fortis-prime.com 17/07/2019 View Details

Items :   41-50 / 1,465

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