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
www.helvea-ltd.com
12 Nov 2019 · #8128 · Belgium · MiFID
Lextin Capital / Green Wire Capital (http://lextincapital.com/ - semble à présent inactif - et www.greenwirecapital.com)
12 Nov 2019 · #8190 · Belgium · MiFID
SBAV Group (www.sbavgroup.com/)
12 Nov 2019 · #8193 · Belgium · MiFID
Unique Global Investment (https://ugi.direct/ - semble à présent inactif )
12 Nov 2019 · #8191 · Belgium · MiFID
Oita Sumitomo Corporate (www.oscinternational.com/)
12 Nov 2019 · #8192 · Belgium · MiFID
Morgan Cowen Capital Markets (www.morgan-cowen.com/)
12 Nov 2019 · #8195 · Belgium · MiFID
www.first-matching.com
5 Nov 2019 · #8127 · Belgium · MiFID
MKB Bank Nyrt.
4 Nov 2019 · #9029 · Hungary · MiFID
Stock global
22 Oct 2019 · #8052 · Belgium · MiFID
Marketcapital
22 Oct 2019 · #8051 · Belgium · MiFID
Trendinggraphs (Premium Systems)
22 Oct 2019 · #8053 · Belgium · MiFID
Capital Pilots
22 Oct 2019 · #8050 · Belgium · MiFID
Entity name not disclosed
9 Oct 2019 · #7968 · Italy · MiFID
Entity name not disclosed
8 Oct 2019 · #7937 · Greece · MiFID
www.index-capital.be
30 Sept 2019 · #7847 · Belgium · MiFID
www.choices-invest.com
30 Sept 2019 · #7848 · Belgium · MiFID
Kuvera Global LLC
30 Sept 2019 · #7941 · Belgium · MiFID
FlixGM (Altridium Group)
24 Sept 2019 · #7868 · Belgium · MiFID
Globalmarkets
24 Sept 2019 · #7869 · Belgium · MiFID
Entity name not disclosed
24 Sept 2019 · #8629 · Poland · MiFID
Key Markets
24 Sept 2019 · #7872 · Belgium · MiFID
Masonford
24 Sept 2019 · #7874 · Belgium · MiFID
Investteck
24 Sept 2019 · #7871 · Belgium · MiFID
Kodimax
24 Sept 2019 · #7873 · Belgium · MiFID
Tradershome
24 Sept 2019 · #7875 · Belgium · MiFID
Infinitrade
24 Sept 2019 · #7870 · Belgium · MiFID
Dream Equity (InvestingCapital)
24 Sept 2019 · #7867 · Belgium · MiFID
Entity name not disclosed
23 Sept 2019 · #7829 · Greece · MiFID
EQUILOR Befektetési Zártkörűen Működő Részvénytársaság
30 Aug 2019 · #9028 · Hungary · MiFID
Entity name not disclosed
1 Aug 2019 · #7938 · Greece · MiFID
Raiffeisenbank a.s.
26 Jul 2019 · #10481 · Czechia · MiFID
REGIS-TR S.A.
11 Jul 2019 · #13257 · European Union · EMIR
Go Capital FX (Go Capital 123 - Lancelot Equity Ltd.)
9 Jul 2019 · #7487 · Belgium · MiFID
Mercurius Dom Maklerski Sp. z o.o.
9 Jul 2019 · #7953 · Poland · MiFID
www.fortis-prime.com
9 Jul 2019 · #7509 · Belgium · MiFID
www.aeglobalinvest.com
9 Jul 2019 · #7507 · Belgium · MiFID
www.deutschecapitalpartners.com
9 Jul 2019 · #7508 · Belgium · MiFID
www.rt-europe.be
9 Jul 2019 · #7510 · Belgium · MiFID
Vipwayzone
9 Jul 2019 · #7488 · Belgium · MiFID
Czech Asset Investments, a.s.
27 Jun 2019 · #10479 · Czechia · MiFID
BH Securities a.s.
26 Jun 2019 · #10482 · Czechia · MiFID
Molineaux Investment
4 Jun 2019 · #7447 · Belgium · MiFID
WORLDWIDE SAFE INVESTMENT LIMITED
31 May 2019 · #7399 · Italy · MiFID
WORLDWIDE SAFE INVESTMENT LIMITED
31 May 2019 · #7393 · Italy · MiFID
Entity name not disclosed
30 May 2019 · #7939 · Greece · EMIR
Entity name not disclosed
30 May 2019 · #7940 · Greece · MiFID
Elibank-Vernon
28 May 2019 · #7409 · Belgium · MiFID
Jonarnstein
28 May 2019 · #7411 · Belgium · MiFID
Sheridan Wells Advisors
28 May 2019 · #7410 · Belgium · MiFID
Echler Solomon Feng
28 May 2019 · #7412 · Belgium · MiFID
Data sourced from the ESMA sanctions and enforcement register, updated weekly.
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