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
22/03/2010 CZECH REPUBLIC MiFID Administrative sanction Czech National Bank (CNB) CYRRUS, a.s. 28/01/2015 View Details
07/04/2010 CZECH REPUBLIC MiFID Administrative sanction Czech National Bank (CNB) J & T BANKA, a.s. 29/01/2015 View Details
21/05/2010 CZECH REPUBLIC MiFID Administrative sanction Czech National Bank (CNB) UniCredit Bank Czech Repu... 29/01/2015 View Details
01/10/2010 CZECH REPUBLIC MiFID Administrative sanction Czech National Bank (CNB) Raiffeisenbank a.s. 29/01/2015 View Details
05/10/2010 CZECH REPUBLIC MAD Not requested by ESMA when submitted Czech National Bank (CNB) Raiffeisenbank a.s. 29/01/2015 View Details
21/10/2010 CZECH REPUBLIC MiFID Administrative sanction Czech National Bank (CNB) WOOD & Company Financial ... 29/01/2015 View Details
04/01/2011 BULGARIA MiFID Administrative sanction Financial Supervision Commission (FSC) 06/03/2015 View Details
20/01/2011 NETHERLANDS MiFID Administrative sanction Netherlands Authority for the Financial Markets (AFM) SNS Bank N.V. 18/10/2017 View Details
15/02/2011 CZECH REPUBLIC MiFID Administrative sanction Czech National Bank (CNB) EFEKTA obchodník s cenným... 28/01/2015 View Details
22/02/2011 CZECH REPUBLIC MiFID Administrative sanction Czech National Bank (CNB) Patria Finance, a.s. 29/01/2015 View Details

Items :   1-10 / 1,439

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