ESMA Sanctions & Enforcement Register
Sanctions and enforcement actions published by ESMA for entities it directly supervises — credit rating agencies, trade repositories, benchmark administrators, and more.
1,318 records.
Sanctions by country
Trive Financial Services Europe Ltd.
24 Sept 2026 · #15280 · Malta · MiFID
Entity name not disclosed
2 Sept 2026 · #15217 · Greece · MiFID
XTB S.A.
28 Aug 2026 · #14961 · Poland · MiFID
Liechtensteinische Landesbank (Österreich) AG
20 Aug 2026 · #15199 · Austria · MiFID
Raiffeisenverband Salzburg eGen
4 Aug 2026 · #15177 · Austria · MiFID
Entity name not disclosed
14 Jul 2026 · #15270 · Belgium · MiFID
WAYSTONE MANAGEMENT COMPANY (LUX) S.A.
9 Jul 2026 · #15295 · Luxembourg · UCITS
Bank Degroof Petercam
26 Jun 2026 · #15285 · Belgium · MiFID
Allianz Invest Kapitalanlagegesellschaft mbH
24 Jun 2026 · #15116 · Austria · UCITS
Entity name not disclosed
10 Jun 2026 · #15015 · Italy · MiFID
mBank S.A.
29 May 2026 · #15035 · Poland · MiFID
MASTERINVEST Kapitalanlage GmbH
20 May 2026 · #14976 · Austria · UCITS
Pareto Securities Ab
13 May 2026 · #14936 · Finland · MiFID
DIVERSIFIED ASSET MANAGEMENT S.A., DAM
30 Apr 2026 · #15240 · Luxembourg · MiFID
ARKEA DIRECT BANK
22 Apr 2026 · #15271 · Belgium · MiFID
Entity name not disclosed
16 Apr 2026 · #14880 · Italy · EMIR
Entity name not disclosed
8 Apr 2026 · #14881 · Italy · EMIR
Entity name not disclosed
1 Apr 2026 · #14896 · France · MiFID
Entity name not disclosed
1 Apr 2026 · #14895 · France · MiFID
U.P. o.c.p., a.s.
31 Mar 2026 · #14903 · Slovakia · MiFID
Familiam Asset Management Oy
25 Mar 2026 · #14937 · Finland · MiFID
REPLICA SOCIETA' DI INTERMEDIAZIONE MOBILIARE S.P.A.
24 Mar 2026 · #14841 · Italy · MAR
BANKINTER GESTION DE ACTIVOS, S.A., S.G.I.I.C.
23 Mar 2026 · #14902 · Spain · UCITS
Entity name not disclosed
9 Mar 2026 · #14875 · Austria · MiFID
Santander Bank Polska S.A.
4 Mar 2026 · #14838 · Poland · MiFID
3 Banken-Generali Investment-Gesellschaft m.b.H.
21 Jan 2026 · #14715 · Austria · UCITS
M.Z. Investment Services Limited
21 Jan 2026 · #14606 · Malta · MiFID
Entity name not disclosed
20 Jan 2026 · #14878 · France · MiFID
FIRST PRUDENTIAL MARKETS LTD
19 Jan 2026 · #15179 · Cyprus · MiFID
Entity name not disclosed
19 Jan 2026 · #14745 · Iceland · MiFID
Entity name not disclosed
14 Jan 2026 · #14635 · Italy · MiFID
Entity name not disclosed
13 Jan 2026 · #14737 · Iceland · MiFID
NFS NETWORK FINANCIAL SERVICES LTD
22 Dec 2025 · #14783 · Cyprus · MiFID
Entity name not disclosed
22 Dec 2025 · #14565 · Romania · MiFID
flatexDEGIRO Bank AG
16 Dec 2025 · #14514 · Germany · MiFID
flatexDEGIRO Bank AG
16 Dec 2025 · #14515 · Germany · MiFID
Raiffeisen-Landesbank Tirol AG
10 Dec 2025 · #14513 · Austria · MiFID
OTP Bank Nyrt.
28 Nov 2025 · #14558 · Hungary · MiFID
OTP Bank Nyrt.
28 Nov 2025 · #14563 · Hungary · MiFID
OTP Bank Nyrt.
28 Nov 2025 · #14562 · Hungary · MiFID
FRS Financial Services GmbH
28 Nov 2025 · #14517 · Austria · MiFID
OTP Bank Nyrt.
28 Nov 2025 · #14561 · Hungary · MiFID
Private Wealth Consulting Sp. z o.o.
24 Nov 2025 · #14509 · Poland · MiFID
IQAM Invest GmbH
18 Nov 2025 · #14470 · Austria · UCITS
Entity name not disclosed
12 Nov 2025 · #14898 · France · MiFID
OCM Cornerstone Finteco S.à.r.l.
7 Nov 2025 · #14510 · Poland · MiFID
I-KAPITAL
29 Oct 2025 · #14405 · France · MiFID
CA Indosuez Wealth (Europe), Sucursal en España
16 Oct 2025 · #14397 · Spain · MiFID
Raiffeisen Bank Zártkörűen Működő Részvénytársaság
16 Oct 2025 · #14554 · Hungary · MiFID
CA Indosuez Wealth (Europe), Sucursal en España
16 Oct 2025 · #14396 · Spain · MiFID
Data sourced from the ESMA sanctions and enforcement register, updated weekly.
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