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
06/07/2020 BELGIUM MiFID Administrative measure Financial Services and Markets Authority (FSMA) FIRST PROPERTY (ANCIENNEM... 05/10/2020 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
01/07/2020 FINLAND MiFID Administrative sanction Finanssivalvonta (FSA) Privanet Capital Markets ... 09/09/2020 View Details
26/06/2020 FRANCE MiFID Administrative sanction Autorité des Marchés Financiers (AMF) CERES FINANCE 26/06/2025 18/08/2020 View Details
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
22/06/2020 HUNGARY MiFID Administrative sanction Central Bank of Hungary Concorde Értékpapír Zrt. 13/05/2021 View Details
22/06/2020 HUNGARY MiFID Administrative sanction Central Bank of Hungary UniCredit Bank Hungary Zr... 13/05/2021 View Details
22/06/2020 HUNGARY MiFID Administrative sanction Central Bank of Hungary MTB Magyar Takarékszövetk... 13/05/2021 View Details
17/06/2020 GREECE MiFID Administrative sanction Hellenic Capital Market Commission (HCMC) 23/06/2020 View Details
15/06/2020 NORWAY MiFID Criminal sanction Norwegian Financial Supervisory Authority JOOL MARKETS AS 12/06/2020 View Details

Items :   151-160 / 1,469

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