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
25/09/2019 FRANCE MiFID Administrative sanction Autorité des Marchés Financiers (AMF) Natixis Asset Management ... 25/09/2024 18/10/2019 View Details
06/12/2018 FRANCE MiFID Administrative sanction Autorité des Marchés Financiers (AMF) Exane derivatives 06/12/2023 31/07/2019 View Details
01/07/2019 FRANCE MiFID Administrative sanction Autorité des Marchés Financiers (AMF) PRADO PARADIS PATRIMOINE 01/07/2023 01/08/2019 View Details
24/01/2019 FRANCE MiFID Administrative sanction Autorité des Marchés Financiers (AMF) NOVACTIFS PATRIMOINE 24/01/2024 31/07/2019 View Details
20/05/2019 FRANCE MiFID Administrative sanction Autorité des Marchés Financiers (AMF) HEDIOS PATRIMOINE 20/05/2024 01/08/2019 View Details
02/07/2019 FRANCE MiFID Administrative sanction Autorité des Marchés Financiers (AMF) INVEST SECURITIES 02/07/2024 01/08/2019 View Details
28/12/2018 FRANCE MiFID Administrative sanction Autorité des Marchés Financiers (AMF) AMADEIS 28/12/2023 31/07/2019 View Details
21/06/2016 FRANCE MiFID Administrative sanction Autorité des Marchés Financiers (AMF) La Banque Postale 21/06/2021 24/06/2016 View Details
13/12/2017 FRANCE UCITS Administrative sanction and measure Autorité des Marchés Financiers (AMF) TRECENTO AM 13/12/2022 26/01/2018 View Details
03/07/2020 FRANCE MiFID Administrative sanction Autorité des Marchés Financiers (AMF) Groupe Consultant en Gest... 03/07/2025 31/12/2020 View Details

Items :   31-40 / 1,465

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