Type of register: Sanction

Date : 21/05/2021, 02:43

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.


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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
17/09/2015 GREECE MAD Not requested by ESMA when submitted Hellenic Capital Market Commission (HCMC) CRONOS FINANCIAL SERVICES... 23/09/2015 View Details
17/09/2015 GREECE MAD Not requested by ESMA when submitted Hellenic Capital Market Commission (HCMC) MERIT SECURITIES A.E.P.E.... 23/09/2015 View Details
29/08/2013 GREECE MAD Not requested by ESMA when submitted Hellenic Capital Market Commission (HCMC) ARDU PRIME S.A. 18/02/2014 View Details
11/10/2013 DENMARK MAD Not requested by ESMA when submitted Finanstilsynet Sparekassen Kronjylland 07/03/2014 View Details
23/07/2014 ITALY MAD Not requested by ESMA when submitted Commissione Nazionale per le Societa e la Borsa (CONSOB) BLACKROCK INVESTMENT MANA... 10/06/2015 View Details
17/09/2015 GREECE MAD Not requested by ESMA when submitted Hellenic Capital Market Commission (HCMC) SOLIDUS SECURITIES S.A. 23/09/2015 View Details
14/03/2018 SPAIN MAD Administrative sanction Comisión Nacional del Mercado de Valores (CNMV) GESTION DE PATRIMONIOS MO... 14/03/2023 21/10/2019 View Details
27/10/2016 SPAIN MAD Not requested by ESMA when submitted Comisión Nacional del Mercado de Valores (CNMV) RENTA 4, S.A. S.V. 27/10/2021 17/11/2016 View Details
09/10/2018 SPAIN MAD Administrative sanction Comisión Nacional del Mercado de Valores (CNMV) LINK SECURITIES, SOCIEDAD... 09/10/2023 11/01/2019 View Details
14/06/2017 SPAIN MAD Not requested by ESMA when submitted Comisión Nacional del Mercado de Valores (CNMV) GVC GAESCO VALORES S.V., ... 14/06/2022 25/07/2017 View Details

Items :   11-20 / 1,465

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