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
12/02/2020 AUSTRIA UCITS Administrative sanction and measure Austrian Financial Market Authority (FMA) KEPLER-FONDS Kapitalanlag... 12/02/2025 27/02/2020 View Details
10/04/2019 AUSTRIA UCITS Administrative sanction and measure Austrian Financial Market Authority (FMA) MASTERINVEST Kapitalanlag... 15/04/2024 30/04/2019 View Details
29/05/2018 AUSTRIA UCITS Administrative sanction and measure Austrian Financial Market Authority (FMA) Spängler IQAM Invest GmbH 02/07/2023 24/10/2018 View Details
10/08/2018 AUSTRIA UCITS Administrative sanction and measure Austrian Financial Market Authority (FMA) MASTERINVEST Kapitalanlag... 14/08/2023 24/10/2018 View Details
05/04/2018 AUSTRIA UCITS Administrative sanction and measure Austrian Financial Market Authority (FMA) 3 Banken-Generali Investm... 09/05/2023 24/10/2018 View Details
17/10/2019 AUSTRIA UCITS Administrative sanction and measure Austrian Financial Market Authority (FMA) Amundi Austria GmbH 10/01/2020 View Details
28/08/2018 AUSTRIA UCITS Administrative sanction and measure Austrian Financial Market Authority (FMA) Amundi Austria GmbH 29/08/2023 24/10/2018 View Details
12/02/2020 AUSTRIA MiFID Administrative sanction Austrian Financial Market Authority (FMA) Raiffeisenbank Reutte reg... 13/03/2025 18/05/2020 View Details
26/05/2020 AUSTRIA UCITS Administrative sanction and measure Austrian Financial Market Authority (FMA) LLB Invest Kapitalanlageg... 26/05/2025 24/06/2020 View Details
10/11/2020 AUSTRIA MiFID Administrative sanction Austrian Financial Market Authority (FMA) Oberbank AG 10/11/2025 24/11/2020 View Details

Items :   1-10 / 1,439

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