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
18/12/2020 FRANCE MiFID Administrative sanction Autorité des Marchés Financiers (AMF) Digne Conseils & Gestion 18/12/2025 31/12/2020 View Details
23/07/2020 FRANCE MiFID Administrative sanction Autorité des Marchés Financiers (AMF) TEC ASSURANCE 23/07/2025 31/12/2020 View Details
01/03/2021 FRANCE MiFID Administrative sanction Autorité des Marchés Financiers (AMF) TRADITA 01/03/2026 11/03/2021 View Details
07/12/2016 FRANCE MiFID Administrative sanction Autorité des Marchés Financiers (AMF) Banque Transatlantique S.... 07/12/2021 02/10/2017 View Details
14/12/2017 FRANCE MiFID Administrative sanction Autorité des Marchés Financiers (AMF) Kepler Cheuvreux 14/12/2022 26/01/2018 View Details
24/01/2020 FRANCE EMIR EMIR Penalty Autorité des Marchés Financiers (AMF) BRED - Banque populaire 24/01/2025 04/03/2020 View Details
17/11/2016 FRANCE MiFID Administrative sanction Autorité des Marchés Financiers (AMF) LMBO 17/11/2021 02/10/2017 View Details
22/02/2017 FRANCE UCITS Administrative sanction and measure Autorité des Marchés Financiers (AMF) LA FINANCIERE DESSELLIGNY... 22/02/2022 20/02/2020 View Details
26/06/2020 FRANCE MiFID Administrative sanction Autorité des Marchés Financiers (AMF) CERES FINANCE 26/06/2025 18/08/2020 View Details
20/12/2019 FRANCE MiFID Administrative sanction Autorité des Marchés Financiers (AMF) GSD GESTION 20/12/2025 18/08/2020 View Details

Items :   41-50 / 1,465

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