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
16 Jun 2016 · #3867 · Bulgaria · MiFID
PEGASUS SECURITIES S.A.
16 Jun 2016 · #3905 · Greece · MiFID
UAB FMĮ "Orion Securities"
30 May 2016 · #3909 · Lithuania · MiFID
Entity name not disclosed
26 May 2016 · #3767 · Bulgaria · MiFID
UNIQA investiční společnost, a.s.
18 May 2016 · #3744 · Czechia · UCITS
TRIPLE A EXPERTS INVESTMENT SERVICES SINGLE MEMBER S.A.
18 May 2016 · #3908 · Greece · MiFID
Entity name not disclosed
25 Apr 2016 · #3764 · Bulgaria · MiFID
Entity name not disclosed
25 Apr 2016 · #3766 · Bulgaria · MiFID
Entity name not disclosed
25 Apr 2016 · #3765 · Bulgaria · MiFID
Entity name not disclosed
21 Apr 2016 · #3605 · Romania · MiFID
Entity name not disclosed
15 Apr 2016 · #3564 · Bulgaria · MiFID
Entity name not disclosed
14 Apr 2016 · #3763 · Bulgaria · MiFID
Entity name not disclosed
13 Apr 2016 · #3866 · Bulgaria · MiFID
Entity name not disclosed
13 Apr 2016 · #3488 · Bulgaria · MiFID
Entity name not disclosed
6 Apr 2016 · #3487 · Bulgaria · MiFID
Entity name not disclosed
31 Mar 2016 · #3563 · Bulgaria · MiFID
Entity name not disclosed
31 Mar 2016 · #3389 · Greece · MiFID
PEGASUS SECURITIES S.A.
31 Mar 2016 · #3390 · Greece · MiFID
Entity name not disclosed
29 Mar 2016 · #3485 · Bulgaria · MiFID
Entity name not disclosed
25 Mar 2016 · #3863 · Bulgaria · MiFID
Entity name not disclosed
24 Mar 2016 · #3484 · Bulgaria · MiFID
DTCC Derivatives Repository Limited (DDRL)
23 Mar 2016 · #13207 · European Union · EMIR
Binck Bank
16 Mar 2016 · #4888 · Netherlands · MiFID
FX-CAM Consulting and Advertisement Ltd
8 Mar 2016 · #4303 · Malta · MiFID
Entity name not disclosed
7 Mar 2016 · #3407 · Bulgaria · MiFID
Entity name not disclosed
29 Feb 2016 · #3483 · Bulgaria · MiFID
Entity name not disclosed
25 Feb 2016 · #3410 · Bulgaria · MiFID
Entity name not disclosed
22 Feb 2016 · #3408 · Bulgaria · MiFID
Macte Invest FM AB
8 Feb 2016 · #3223 · Lithuania · MiFID
Entity name not disclosed
1 Feb 2016 · #3486 · Bulgaria · MiFID
EPIC S.A.
21 Jan 2016 · #3387 · Greece · MiFID
SOLIDUS SECURITIES INVESTMENT SERVICES FIRM
21 Jan 2016 · #3386 · Greece · MiFID
Entity name not disclosed
12 Jan 2016 · #4784 · Bulgaria · MiFID
Entity name not disclosed
11 Jan 2016 · #3406 · Bulgaria · MiFID
Entity name not disclosed
16 Dec 2015 · #3409 · Bulgaria · MiFID
Entity name not disclosed
15 Dec 2015 · #3405 · Bulgaria · MiFID
Computershare Investor Services (Ireland) Limited
15 Dec 2015 · #3084 · Ireland · MiFID
Entity name not disclosed
11 Dec 2015 · #4345 · Bulgaria · MiFID
Waystone Asset Management (IE) Limited
1 Dec 2015 · #3063 · Ireland · MiFID
NOTESCO FINANCIAL SERVICES LTD
18 Nov 2015 · #5505 · Cyprus · MiFID
Eurizon Asset Management Slovakia, správ. spol., a.s.
10 Nov 2015 · #3043 · Slovakia · UCITS
Entity name not disclosed
10 Nov 2015 · #3403 · Bulgaria · MiFID
Entity name not disclosed
5 Nov 2015 · #3303 · Romania · MiFID
COSMIC FINANCIAL SERVICES (MALTA) LIMITED
30 Oct 2015 · #2883 · Malta · MiFID
CICCOLELLA SPA
30 Oct 2015 · #2936 · Italy · MiFID
Entity name not disclosed
30 Oct 2015 · #3404 · Bulgaria · MiFID
Entity name not disclosed
30 Oct 2015 · #3005 · Bulgaria · MiFID
EQUILOR Befektetési Zártkörűen Működő Részvénytársaság
27 Oct 2015 · #57 · Hungary · MiFID
Entity name not disclosed
23 Oct 2015 · #2944 · Bulgaria · MiFID
Entity name not disclosed
23 Oct 2015 · #2983 · Bulgaria · MiFID
Data sourced from the ESMA sanctions and enforcement register, updated weekly.
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