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
13/07/2015 BULGARIA MiFID Administrative sanction Financial Supervision Commission (FSC) 19/08/2015 View Details
30/10/2015 BULGARIA MiFID Administrative sanction Financial Supervision Commission (FSC) 08/12/2015 View Details
30/10/2015 BULGARIA MiFID Administrative sanction Financial Supervision Commission (FSC) 31/07/2017 View Details
11/01/2016 BULGARIA MiFID Administrative sanction Financial Supervision Commission (FSC) 31/07/2017 View Details
16/12/2015 BULGARIA MiFID Administrative sanction Financial Supervision Commission (FSC) 31/07/2017 View Details
28/01/2015 BULGARIA MiFID Administrative sanction Financial Supervision Commission (FSC) 10/03/2015 View Details
01/02/2016 BULGARIA MiFID Administrative sanction Financial Supervision Commission (FSC) 31/07/2017 View Details
21/11/2016 BULGARIA MiFID Administrative sanction Financial Supervision Commission (FSC) 31/07/2017 View Details
13/04/2016 BULGARIA MiFID Administrative sanction Financial Supervision Commission (FSC) 31/07/2017 View Details
14/04/2016 BULGARIA MiFID Administrative sanction Financial Supervision Commission (FSC) 31/07/2017 View Details

Items :   71-80 / 1,465

Export in:

Export
Last update:20/05/2021, 14:00:13

The export cannot be performed due to the high volume of data (1465 rows). Export of binary data is allowed up to 1000 rows.

Please modify your selection criteria and try again.

The export process may take time due to high volume of data.

Do you want to continue?