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
Denman-Brys Group
9 Jul 2018 · #6466 · Belgium · MiFID
Akita Matsui trading
9 Jul 2018 · #6468 · Belgium · MiFID
Morgan Newfield
9 Jul 2018 · #6469 · Belgium · MiFID
Entity name not disclosed
3 Jul 2018 · #6339 · Greece · MiFID
Entity name not disclosed
3 Jul 2018 · #6338 · Greece · MiFID
Entity name not disclosed
3 Jul 2018 · #7149 · Greece · MiFID
GTX Options
3 Jul 2018 · #6465 · Belgium · MiFID
Entity name not disclosed
28 Jun 2018 · #6384 · Romania · MiFID
LM SWISS DIRECT LTD
14 Jun 2018 · #11165 · Italy · MiFID
Time Asset Management S.A.
18 May 2018 · #7935 · Poland · MiFID
Entity name not disclosed
15 May 2018 · #6317 · Greece · MiFID
CHESHIRE CAPITAL LTD
11 May 2018 · #5824 · Italy · MiFID
Entity name not disclosed
11 May 2018 · #5964 · Malta · MiFID
CYRRUS, a.s.
3 May 2018 · #10478 · Czechia · MiFID
Entity name not disclosed
24 Apr 2018 · #6212 · Greece · MiFID
Entity name not disclosed
24 Apr 2018 · #6213 · Greece · MiFID
Entity name not disclosed
24 Apr 2018 · #6214 · Greece · MiFID
MBH Befektetési Bank Zártkörűen Működő Részvénytársaság
23 Apr 2018 · #5970 · Hungary · MAR
Entity name not disclosed
19 Apr 2018 · #5764 · Romania · MiFID
Nordea Bank AB (publ), Finnish Branch
9 Apr 2018 · #5724 · Finland · MiFID
Entity name not disclosed
29 Mar 2018 · #6318 · Greece · MiFID
INTER GLOBAL
28 Mar 2018 · #11167 · Italy · MiFID
Bastow Charleton
27 Mar 2018 · #5684 · Ireland · MiFID
Meadows Financial
6 Mar 2018 · #6463 · Belgium · MiFID
Burton Mills
6 Mar 2018 · #6459 · Belgium · MiFID
Entity name not disclosed
6 Mar 2018 · #6226 · Greece · MiFID
Schalom and Gerson / SG Finance
6 Mar 2018 · #6461 · Belgium · MiFID
Loeb-Benson
6 Mar 2018 · #6462 · Belgium · MiFID
Hollis Kookmin Financial
6 Mar 2018 · #6460 · Belgium · MiFID
Lambert & Sons Incorporated
6 Mar 2018 · #6464 · Belgium · MiFID
Entity name not disclosed
2 Mar 2018 · #5586 · Romania · MiFID
CIB Bank Zrt.
1 Mar 2018 · #5969 · Hungary · MiFID
Entity name not disclosed
21 Feb 2018 · #6223 · Greece · MiFID
Entity name not disclosed
21 Feb 2018 · #6222 · Greece · MiFID
Entity name not disclosed
6 Feb 2018 · #5424 · Romania · MiFID
Entity name not disclosed
6 Feb 2018 · #5426 · Romania · MiFID
Entity name not disclosed
1 Feb 2018 · #11161 · Italy · MiFID
Entity name not disclosed
29 Jan 2018 · #5427 · Romania · MiFID
Entity name not disclosed
26 Jan 2018 · #5368 · Greece · MiFID
Entity name not disclosed
26 Jan 2018 · #6320 · Greece · MiFID
Entity name not disclosed
26 Jan 2018 · #5367 · Greece · MiFID
International Markets Live LTD
23 Jan 2018 · #6458 · Belgium · MiFID
Entity name not disclosed
16 Jan 2018 · #6321 · Greece · MiFID
B.C.P. ASSET MANAGEMENT DESIGNATED ACTIVITY COMPANY
18 Dec 2017 · #5305 · Ireland · MiFID
Entity name not disclosed
8 Dec 2017 · #5365 · Greece · MiFID
Entity name not disclosed
8 Dec 2017 · #5366 · Greece · MiFID
Entity name not disclosed
28 Nov 2017 · #5372 · Greece · MiFID
Entity name not disclosed
28 Nov 2017 · #5373 · Greece · MiFID
Entity name not disclosed
28 Nov 2017 · #6323 · Greece · MiFID
Entity name not disclosed
28 Nov 2017 · #5371 · Greece · MiFID
Data sourced from the ESMA sanctions and enforcement register, updated weekly.
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