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
22 Oct 2015 · #2968 · Bulgaria · MiFID
Entity name not disclosed
20 Oct 2015 · #2943 · Bulgaria · MiFID
ABN Amro Bank N.V.
20 Oct 2015 · #5067 · Netherlands · MiFID
Naxex Invest Ltd
12 Oct 2015 · #5469 · Cyprus · MiFID
RODELER LIMITED
12 Oct 2015 · #5466 · Cyprus · MiFID
G.A. PERVANAS SECURITIES AND INVESTMENT SERVICES COMPANY S.A.
12 Oct 2015 · #2863 · Greece · MiFID
RELIANTCO INVESTMENTS LTD
29 Sept 2015 · #5465 · Cyprus · MiFID
Entity name not disclosed
22 Sept 2015 · #2823 · Greece · MiFID
WGM Services Ltd
21 Sept 2015 · #5464 · Cyprus · MiFID
E2MA Consumer Profiling B.V.
19 Sept 2015 · #5025 · Netherlands · MiFID
MERIT SECURITIES A.E.P.E.Y.
17 Sept 2015 · #2807 · Greece · MAD
SOLIDUS SECURITIES INVESTMENT SERVICES FIRM
17 Sept 2015 · #2805 · Greece · MAD
Gooisch Effectenhuis
10 Sept 2015 · #5024 · Netherlands · MiFID
Entity name not disclosed
14 Jul 2015 · #2688 · Bulgaria · MiFID
Entity name not disclosed
13 Jul 2015 · #2743 · Bulgaria · MiFID
RM - S Market o.c.p., a.s.
13 Jul 2015 · #2663 · Slovakia · MiFID
Entity name not disclosed
9 Jul 2015 · #2686 · Bulgaria · MiFID
Entity name not disclosed
2 Jul 2015 · #2685 · Bulgaria · MiFID
Entity name not disclosed
1 Jul 2015 · #2608 · Bulgaria · MiFID
Entity name not disclosed
30 Jun 2015 · #2689 · Bulgaria · MiFID
Entity name not disclosed
25 Jun 2015 · #2687 · Bulgaria · MiFID
Entity name not disclosed
24 Jun 2015 · #2684 · Bulgaria · MiFID
Entity name not disclosed
23 Jun 2015 · #2683 · Bulgaria · MiFID
Czech Asset Investments, a.s.
23 Jun 2015 · #2783 · Czechia · MiFID
Entity name not disclosed
16 Jun 2015 · #2628 · Romania · MiFID
Entity name not disclosed
11 Jun 2015 · #2545 · Greece · MiFID
Entity name not disclosed
11 Jun 2015 · #2547 · Greece · MiFID
BH Securities a.s.
10 Jun 2015 · #2784 · Czechia · MiFID
Entity name not disclosed
9 Jun 2015 · #3317 · Romania · MiFID
ARDU PRIME S.A.
26 May 2015 · #2524 · Greece · MiFID
MERIT SECURITIES A.E.P.E.Y.
26 May 2015 · #2522 · Greece · MiFID
ALPHA FINANCE INVESTMENT SERVICES SINGLE MEMBER S.A.
26 May 2015 · #2526 · Greece · MiFID
EUROTRUST INVESTMENT SERVICES S.A.
26 May 2015 · #2525 · Greece · MiFID
Entity name not disclosed
21 May 2015 · #2607 · Bulgaria · MiFID
Entity name not disclosed
20 May 2015 · #2605 · Bulgaria · MiFID
Entity name not disclosed
15 May 2015 · #2604 · Bulgaria · MiFID
Entity name not disclosed
13 May 2015 · #2606 · Bulgaria · MiFID
ZENIT kapital o.c.p., a.s.
11 May 2015 · #2563 · Slovakia · MiFID
Entity name not disclosed
23 Apr 2015 · #2483 · Romania · MiFID
Entity name not disclosed
20 Apr 2015 · #2703 · Bulgaria · MiFID
Entity name not disclosed
16 Apr 2015 · #2603 · Bulgaria · MiFID
Entity name not disclosed
8 Apr 2015 · #2527 · Bulgaria · MiFID
Entity name not disclosed
7 Apr 2015 · #2488 · Bulgaria · MiFID
Entity name not disclosed
3 Apr 2015 · #2529 · Bulgaria · MiFID
Entity name not disclosed
27 Mar 2015 · #2487 · Bulgaria · MiFID
Entity name not disclosed
20 Mar 2015 · #2485 · Bulgaria · MiFID
Entity name not disclosed
20 Mar 2015 · #2402 · Romania · MiFID
Entity name not disclosed
20 Mar 2015 · #2486 · Bulgaria · MiFID
Entity name not disclosed
16 Mar 2015 · #2484 · Bulgaria · MiFID
Entity name not disclosed
13 Mar 2015 · #2404 · Bulgaria · MiFID
Data sourced from the ESMA sanctions and enforcement register, updated weekly.
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