Romania — ESMA Sanctions Register
71 sanctions and enforcement actions recorded for Romania.
Entity name not disclosed
22 Dec 2025 · #14565 · MiFID
Entity name not disclosed
23 Jun 2025 · #14755 · MiFID
S.A.I. SWISS CAPITAL ASSET MANAGEMENT S.A.
29 May 2025 · #14636 · UCITS
S.A.I. SWISS CAPITAL ASSET MANAGEMENT S.A.
29 May 2025 · #14637 · UCITS
S.A.I. SWISS CAPITAL ASSET MANAGEMENT S.A.
29 May 2025 · #14639 · UCITS
S.A.I. SWISS CAPITAL ASSET MANAGEMENT S.A.
29 May 2025 · #14640 · UCITS
Entity name not disclosed
22 Apr 2025 · #14559 · MiFID
Entity name not disclosed
22 Apr 2025 · #14560 · MiFID
Entity name not disclosed
22 Apr 2025 · #14564 · MiFID
GOLDRING S.A.
26 Jun 2024 · #13450 · MiFID
GOLDRING S.A.
26 Jun 2024 · #13448 · MiFID
GOLDRING S.A.
26 Jun 2024 · #13451 · MiFID
GOLDRING S.A.
26 Jun 2024 · #13447 · MiFID
Entity name not disclosed
26 Jun 2024 · #13484 · MiFID
GOLDRING S.A.
26 Jun 2024 · #13452 · MiFID
GOLDRING S.A.
13 Jun 2024 · #13453 · MiFID
Entity name not disclosed
20 Feb 2023 · #11638 · MiFID
Entity name not disclosed
20 Feb 2023 · #11642 · MiFID
Entity name not disclosed
20 Feb 2023 · #11643 · MiFID
Entity name not disclosed
20 Feb 2023 · #11640 · MiFID
Entity name not disclosed
20 Feb 2023 · #11644 · MiFID
Entity name not disclosed
15 Sept 2022 · #11641 · MiFID
Entity name not disclosed
28 Mar 2019 · #7125 · MiFID
Entity name not disclosed
22 Feb 2019 · #7047 · MiFID
Entity name not disclosed
14 Jan 2019 · #6785 · MiFID
Entity name not disclosed
14 Jan 2019 · #6786 · MiFID
Entity name not disclosed
17 Dec 2018 · #6664 · MiFID
Entity name not disclosed
6 Dec 2018 · #6626 · MiFID
Entity name not disclosed
4 Dec 2018 · #6627 · MiFID
Entity name not disclosed
5 Nov 2018 · #6446 · MiFID
Entity name not disclosed
5 Nov 2018 · #6453 · MiFID
Entity name not disclosed
5 Nov 2018 · #6452 · MiFID
Entity name not disclosed
25 Sept 2018 · #6311 · MiFID
Entity name not disclosed
25 Sept 2018 · #6312 · MiFID
Entity name not disclosed
17 Sept 2018 · #6324 · MiFID
Entity name not disclosed
17 Sept 2018 · #6322 · MiFID
Entity name not disclosed
9 Aug 2018 · #6346 · MiFID
Entity name not disclosed
8 Aug 2018 · #6342 · MiFID
Entity name not disclosed
28 Jun 2018 · #6384 · MiFID
Entity name not disclosed
19 Apr 2018 · #5764 · MiFID
Entity name not disclosed
2 Mar 2018 · #5586 · MiFID
Entity name not disclosed
6 Feb 2018 · #5424 · MiFID
Entity name not disclosed
6 Feb 2018 · #5426 · MiFID
Entity name not disclosed
29 Jan 2018 · #5427 · MiFID
Entity name not disclosed
12 Oct 2017 · #5044 · MiFID
Entity name not disclosed
4 Oct 2017 · #5090 · MiFID
Entity name not disclosed
27 Jul 2017 · #4958 · MiFID
Entity name not disclosed
21 Apr 2016 · #3605 · MiFID
Entity name not disclosed
5 Nov 2015 · #3303 · MiFID
Entity name not disclosed
16 Jun 2015 · #2628 · MiFID
Entity name not disclosed
9 Jun 2015 · #3317 · MiFID
Entity name not disclosed
23 Apr 2015 · #2483 · MiFID
Entity name not disclosed
20 Mar 2015 · #2402 · MiFID
Entity name not disclosed
16 Sept 2014 · #1702 · MiFID
Entity name not disclosed
11 Sept 2014 · #1722 · MiFID
Entity name not disclosed
20 Feb 2014 · #903 · MiFID
Entity name not disclosed
3 Dec 2013 · #563 · MiFID
Entity name not disclosed
2 Dec 2013 · #562 · MiFID
Entity name not disclosed
5 Jul 2013 · #534 · MiFID
Entity name not disclosed
6 Jun 2013 · #576 · MiFID
Entity name not disclosed
6 Jun 2013 · #574 · MiFID
Entity name not disclosed
6 Jun 2013 · #575 · MiFID
Entity name not disclosed
6 Jun 2013 · #572 · MiFID
Entity name not disclosed
6 Jun 2013 · #573 · MiFID
Entity name not disclosed
28 May 2013 · #513 · MiFID
SSIF BRK FINANCIAL GROUP S.A.
7 Aug 2012 · #350 · MiFID
Entity name not disclosed
31 May 2012 · #408 · MiFID
Entity name not disclosed
31 May 2012 · #407 · MiFID
SWISS CAPITAL S.A.
31 May 2012 · #347 · MiFID
Entity name not disclosed
31 May 2012 · #409 · MiFID
Entity name not disclosed
31 May 2012 · #410 · MiFID
Data sourced from the ESMA sanctions and enforcement register, updated weekly.
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