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
13/02/2018 SPAIN MAD Administrative sanction Comisión Nacional del Mercado de Valores (CNMV) AURIGA GLOBAL INVESTORS S... 13/02/2023 02/12/2019 View Details
04/06/2018 SPAIN MAD Administrative sanction Comisión Nacional del Mercado de Valores (CNMV) LINK SECURITIES, SOCIEDAD... 04/06/2023 10/07/2018 View Details
18/10/2016 SPAIN MAD Not requested by ESMA when submitted Comisión Nacional del Mercado de Valores (CNMV) AHORRO CORPORACION FINANC... 18/10/2021 03/11/2016 View Details
30/10/2017 SPAIN MAD Administrative sanction Comisión Nacional del Mercado de Valores (CNMV) MERCADOS Y GESTION DE VAL... 30/10/2022 23/08/2019 View Details
29/01/2019 SPAIN MAD Administrative sanction Comisión Nacional del Mercado de Valores (CNMV) NORBOLSA SOCIEDAD DE VALO... 29/01/2024 06/04/2019 View Details
12/12/2012 IRELAND MAD Not requested by ESMA when submitted Central Bank of Ireland (CBI) Cantor Fitzgerald Ireland... 11/02/2014 View Details
09/10/2018 SPAIN MAD Administrative sanction Comisión Nacional del Mercado de Valores (CNMV) LINK SECURITIES, SOCIEDAD... 09/10/2023 16/12/2020 View Details
29/08/2014 DENMARK MAD Not requested by ESMA when submitted Finanstilsynet Vestjysk Bank A/S 10/11/2014 View Details
23/04/2018 HUNGARY MAR Administrative measure Central Bank of Hungary Magyar Takarékszövetkezet... 04/07/2018 View Details
23/06/2020 SPAIN MAR Administrative sanction Comisión Nacional del Mercado de Valores (CNMV) GESTION DE PATRIMONIOS MO... 23/06/2025 21/09/2020 View Details

Items :   21-30 / 1,465

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