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
Entity name not disclosed
4 Dec 2018 · #6627 · Romania · MiFID
Polski Dom Maklerski S.A.
8 Nov 2018 · #7928 · Poland · MiFID
Entity name not disclosed
6 Nov 2018 · #6896 · Greece · MiFID
Entity name not disclosed
5 Nov 2018 · #6446 · Romania · MiFID
Entity name not disclosed
5 Nov 2018 · #6452 · Romania · MiFID
Entity name not disclosed
5 Nov 2018 · #6453 · Romania · MiFID
CONSULTINVEST INVESTIMENTI S.P.A. SOCIETA' DI INTERMEDIAZIONE MOBILIARE ABBREVIABILE IN: CONSULTINVEST INVESTIMENTI - S.I.M. S.P.A.
24 Oct 2018 · #6404 · Italy · MiFID
Nanto Sapporo Brokerage
23 Oct 2018 · #6512 · Belgium · MiFID
Daiju Commodity Markets
23 Oct 2018 · #6506 · Belgium · MiFID
TSB Wealth
23 Oct 2018 · #6507 · Belgium · MiFID
Royston Carr Asset Management
23 Oct 2018 · #6504 · Belgium · MiFID
Saga Nagoya Securities
23 Oct 2018 · #6508 · Belgium · MiFID
Fraser Hammond
23 Oct 2018 · #6511 · Belgium · MiFID
Reed Cavendish Wealth Management
23 Oct 2018 · #6514 · Belgium · MiFID
Wainwright Marks Management
23 Oct 2018 · #6513 · Belgium · MiFID
RWM Holdings
23 Oct 2018 · #6510 · Belgium · MiFID
Hana Shizuoka Trading
23 Oct 2018 · #6509 · Belgium · MiFID
Aaron Brett
23 Oct 2018 · #6505 · Belgium · MiFID
Entity name not disclosed
17 Oct 2018 · #6340 · Greece · MiFID
Entity name not disclosed
17 Oct 2018 · #6889 · Greece · MiFID
Entity name not disclosed
17 Oct 2018 · #6895 · Greece · MiFID
Entity name not disclosed
17 Oct 2018 · #6341 · Greece · MiFID
COINSPACE LTD
4 Oct 2018 · #11169 · Italy · MiFID
Entity name not disclosed
25 Sept 2018 · #6312 · Romania · MiFID
Entity name not disclosed
25 Sept 2018 · #6311 · Romania · MiFID
X-Trade Brokers S.A.
18 Sept 2018 · #7930 · Poland · MiFID
Entity name not disclosed
17 Sept 2018 · #6324 · Romania · MiFID
Entity name not disclosed
17 Sept 2018 · #6322 · Romania · MiFID
Yamaguchi Laurentian Securities
11 Sept 2018 · #6478 · Belgium · MiFID
Asahi Marusan Management
11 Sept 2018 · #6483 · Belgium · MiFID
Sumitomo Gunma Holdings
11 Sept 2018 · #6481 · Belgium · MiFID
Shinsei Securities
11 Sept 2018 · #6479 · Belgium · MiFID
Cruzinvest.uk - Publicprivatebank.com
11 Sept 2018 · #6480 · Belgium · MiFID
Kangyo Yokohama Securities
11 Sept 2018 · #6482 · Belgium · MiFID
Day Dream Investments Ltd (Utrader)
4 Sept 2018 · #6484 · Belgium · MiFID
MetaInvesting
4 Sept 2018 · #6473 · Belgium · MiFID
Goprofinance
4 Sept 2018 · #6474 · Belgium · MiFID
BeCFD
4 Sept 2018 · #6475 · Belgium · MiFID
Spot2Trade
4 Sept 2018 · #6476 · Belgium · MiFID
Blonde bear / TradeDax
4 Sept 2018 · #6477 · Belgium · MiFID
Mercurius Dom Maklerski Sp. z o.o.
21 Aug 2018 · #7932 · Poland · MiFID
Entity name not disclosed
9 Aug 2018 · #6346 · Romania · MiFID
Entity name not disclosed
8 Aug 2018 · #6342 · Romania · MiFID
INSTANT TRADING EU LTD
2 Aug 2018 · #6064 · Cyprus · MiFID
Polski Dom Maklerski S.A.
31 Jul 2018 · #7933 · Poland · MiFID
Entity name not disclosed
19 Jul 2018 · #7145 · Greece · MiFID
Sky Marketing
9 Jul 2018 · #6470 · Belgium · MiFID
Worldwide Financing group
9 Jul 2018 · #6472 · Belgium · MiFID
Mizuho DKB Brokerage/SDD International
9 Jul 2018 · #6471 · Belgium · MiFID
Evans Chamberlain
9 Jul 2018 · #6467 · Belgium · MiFID
Data sourced from the ESMA sanctions and enforcement register, updated weekly.
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