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
Nordea Bank AB (publ), Finnish Branch
6 Mar 2017 · #4465 · Finland · MiFID
Alexandria Group Oyj
6 Mar 2017 · #4364 · Finland · MiFID
Uudenmaan Osuuspankki
6 Mar 2017 · #4464 · Finland · MiFID
Titanium Investment Services Ltd
6 Mar 2017 · #4365 · Finland · MiFID
Entity name not disclosed
23 Feb 2017 · #5125 · Greece · MiFID
Entity name not disclosed
23 Feb 2017 · #4424 · Greece · MiFID
Entity name not disclosed
17 Feb 2017 · #4787 · Bulgaria · MiFID
Entity name not disclosed
16 Feb 2017 · #4789 · Bulgaria · MiFID
Solar Capital Markets Értékpapír Kereskedelmi Zártkörűen Működő Rt.
10 Feb 2017 · #4686 · Hungary · MiFID
Entity name not disclosed
13 Jan 2017 · #5584 · Greece · MiFID
Entity name not disclosed
13 Jan 2017 · #4264 · Greece · MiFID
Entity name not disclosed
13 Jan 2017 · #4265 · Greece · MiFID
Entity name not disclosed
12 Jan 2017 · #4344 · Bulgaria · MiFID
ABF Adviesgroep B.V.
29 Dec 2016 · #4886 · Netherlands · MiFID
VIVERNO MARKETS LTD (ex BDSwiss Holding Ltd)
19 Dec 2016 · #5449 · Cyprus · MiFID
Entity name not disclosed
16 Dec 2016 · #4346 · Bulgaria · MiFID
Entity name not disclosed
6 Dec 2016 · #11158 · Italy · MiFID
CTS Cloud Trading Solutions Ltd (ex Novox Capital Ltd)
5 Dec 2016 · #5477 · Cyprus · MiFID
Entity name not disclosed
30 Nov 2016 · #4804 · Bulgaria · MiFID
COLMEX PRO LTD
28 Nov 2016 · #5476 · Cyprus · MiFID
Entity name not disclosed
26 Nov 2016 · #4244 · Bulgaria · MiFID
Entity name not disclosed
22 Nov 2016 · #4185 · Greece · MiFID
J&T BANKA, a.s.
22 Nov 2016 · #5665 · Czechia · MiFID
PANTELAKIS SECURITIES S.A.
22 Nov 2016 · #4205 · Greece · MiFID
Entity name not disclosed
22 Nov 2016 · #4184 · Greece · MiFID
Entity name not disclosed
21 Nov 2016 · #4243 · Bulgaria · MiFID
Entity name not disclosed
14 Nov 2016 · #4245 · Bulgaria · MiFID
Entity name not disclosed
9 Nov 2016 · #4204 · Bulgaria · MiFID
CFS SECURITIES & INVESTMENT SERVICES S.A.
7 Nov 2016 · #4145 · Greece · MiFID
Entity name not disclosed
7 Nov 2016 · #4144 · Greece · MiFID
Entity name not disclosed
7 Nov 2016 · #4143 · Greece · MiFID
NATIONAL SECURITIES SINGLE MEMBER S.A.
27 Oct 2016 · #4086 · Greece · MiFID
PIRAEUS SECURITIES S.A.
27 Oct 2016 · #4085 · Greece · MiFID
FERROFORTIA LIMITED
18 Oct 2016 · #4024 · Italy · MiFID
Capita Life and Pensions Services (Ireland) Limited
11 Oct 2016 · #3983 · Ireland · MiFID
Entity name not disclosed
6 Oct 2016 · #4088 · Greece · MiFID
UP & DOWN MARKETING LTD
23 Sept 2016 · #3924 · Italy · MiFID
IQ OPTION EUROPE LTD
5 Sept 2016 · #5475 · Cyprus · MiFID
Entity name not disclosed
1 Sept 2016 · #4203 · Bulgaria · MiFID
Entity name not disclosed
31 Aug 2016 · #3907 · Greece · MiFID
HF MARKETS (EUROPE) LTD
1 Aug 2016 · #5478 · Cyprus · MiFID
Entity name not disclosed
18 Jul 2016 · #3864 · Bulgaria · MiFID
Entity name not disclosed
14 Jul 2016 · #3906 · Greece · MiFID
Entity name not disclosed
6 Jul 2016 · #3865 · Bulgaria · MiFID
Entity name not disclosed
5 Jul 2016 · #4287 · Poland · MiFID
Binck Bank N.V.
1 Jul 2016 · #4904 · Netherlands · MiFID
MHGG TECH SOLUTIONS LTD
1 Jul 2016 · #11157 · Italy · MiFID
NOBLE Securities SA
21 Jun 2016 · #4284 · Poland · MiFID
Generali Investments CEE, investiční společnost, a.s.
17 Jun 2016 · #3743 · Czechia · UCITS
Entity name not disclosed
16 Jun 2016 · #3904 · Greece · MiFID
Data sourced from the ESMA sanctions and enforcement register, updated weekly.
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