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
01/09/2020 BELGIUM MiFID Administrative measure Financial Services and Markets Authority (FSMA) ILA International 05/10/2020 View Details
01/09/2020 BELGIUM MiFID Administrative measure Financial Services and Markets Authority (FSMA) Dunn & Burchill 05/10/2020 View Details
28/08/2020 MALTA MiFID Administrative sanction MFSA MPM CAPITAL INVESTMENTS L... 13/11/2020 View Details
12/08/2020 HUNGARY MiFID Administrative sanction Central Bank of Hungary EQUILOR Befektetési Zrt. 13/05/2021 View Details
05/08/2020 LUXEMBOURG UCITS Administrative sanction and measure UNIVERSAL-INVESTMENT-LUXE... 18/01/2026 19/01/2021 View Details
28/07/2020 BELGIUM MiFID Administrative sanction Financial Services and Markets Authority (FSMA) Banque Degroof Petercam S... 11/08/2020 View Details
23/07/2020 FRANCE MiFID Administrative sanction Autorité des Marchés Financiers (AMF) TEC ASSURANCE 23/07/2025 31/12/2020 View Details
20/07/2020 BELGIUM MiFID Administrative measure Financial Services and Markets Authority (FSMA) UCM LIMITED (WWW.UCM-LIMI... 11/08/2020 View Details
15/07/2020 ITALY MiFID Administrative measure BANCA D'ITALIA PROGETTO SIM S.P.A. - SOC... 17/09/2020 View Details
14/07/2020 POLAND MiFID Administrative measure Polish Financial Supervisory Authority (KNF) 10/11/2020 View Details

Items :   141-150 / 1,469

Export in:

Export
Last update:16/07/2021, 14:00:12

The export cannot be performed due to the high volume of data (1469 rows). Export of binary data is allowed up to 1000 rows.

Please modify your selection criteria and try again.

The export process may take time due to high volume of data.

Do you want to continue?