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
18/10/2017 UNITED KINGDOM EMIR EMIR Penalty Financial Conduct Authority (FCA) Merrill Lynch Internation... 07/09/2018 View Details
08/08/2016 UNITED KINGDOM MiFID Administrative sanction Financial Conduct Authority (FCA) Cenkos Securities PLC 22/08/2016 View Details
19/03/2019 UNITED KINGDOM MiFID Administrative sanction Financial Conduct Authority (FCA) UBS Limited 21/03/2019 View Details
22/10/2014 SWEDEN MiFID Administrative sanction Finansinspektionen (FI) B & P Fund Services Aktie... 20/01/2015 View Details
19/06/2013 SWEDEN MiFID Administrative sanction Finansinspektionen (FI) Statkraft Financial Energ... 26/02/2014 View Details
15/04/2013 SWEDEN MiFID Administrative sanction Finansinspektionen (FI) Ericsson & Partners Förmö... 26/02/2014 View Details
12/11/2013 SWEDEN MiFID Administrative sanction Finansinspektionen (FI) Mangold Fondkommission AB 26/02/2014 View Details
15/10/2013 SWEDEN MiFID Administrative sanction Finansinspektionen (FI) JRS Asset Management AB 26/02/2014 View Details
11/06/2013 SWEDEN MiFID Administrative sanction Finansinspektionen (FI) Coeli AB 26/02/2014 View Details
05/12/2014 SWEDEN MiFID Administrative sanction Finansinspektionen (FI) 05/12/2014 View Details

Items :   1-10 / 1,464

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