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
12 Mar 2015 · #2528 · Bulgaria · MiFID
AGA International B.V.
12 Mar 2015 · #5066 · Netherlands · MiFID
Entity name not disclosed
4 Mar 2015 · #2284 · Greece · MiFID
Entity name not disclosed
4 Mar 2015 · #2283 · Greece · MiFID
Entity name not disclosed
4 Mar 2015 · #2282 · Greece · MiFID
Entity name not disclosed
25 Feb 2015 · #2386 · Bulgaria · MiFID
Entity name not disclosed
23 Feb 2015 · #2242 · Hungary · MiFID
Entity name not disclosed
17 Feb 2015 · #2422 · Bulgaria · MiFID
Entity name not disclosed
28 Jan 2015 · #2343 · Bulgaria · MiFID
STAVROS EMM. LAVRENTAKIS SECURITIES S.A.
19 Jan 2015 · #2189 · Greece · MiFID
EUROXX SECURITIES S.A.
19 Jan 2015 · #2191 · Greece · MiFID
Entity name not disclosed
19 Dec 2014 · #2311 · Bulgaria · MiFID
Entity name not disclosed
17 Dec 2014 · #2308 · Bulgaria · MiFID
Entity name not disclosed
10 Dec 2014 · #2062 · Greece · MiFID
Investerum AB
5 Dec 2014 · #2024 · Sweden · MiFID
Entity name not disclosed
5 Dec 2014 · #2023 · Sweden · MiFID
Entity name not disclosed
5 Dec 2014 · #2022 · Sweden · MiFID
Entity name not disclosed
3 Dec 2014 · #2313 · Bulgaria · MiFID
t Sorgh & Huis hodn Maesons
2 Dec 2014 · #5072 · Netherlands · MiFID
Entity name not disclosed
28 Nov 2014 · #2310 · Bulgaria · MiFID
Entity name not disclosed
27 Nov 2014 · #2304 · Bulgaria · MiFID
Entity name not disclosed
24 Nov 2014 · #2325 · Bulgaria · MiFID
Entity name not disclosed
18 Nov 2014 · #4293 · Poland · MiFID
COSMIC FINANCIAL SERVICES (MALTA) LIMITED
5 Nov 2014 · #1882 · Malta · MiFID
B & P Fund Services Aktiebolag
22 Oct 2014 · #2162 · Sweden · MiFID
Entity name not disclosed
15 Oct 2014 · #1802 · Greece · MiFID
SOLIDUS SECURITIES INVESTMENT SERVICES FIRM
15 Oct 2014 · #1805 · Greece · MiFID
Entity name not disclosed
15 Oct 2014 · #1803 · Greece · MiFID
Entity name not disclosed
15 Oct 2014 · #1804 · Greece · MiFID
CARION Befektetési Alapkezelő Zártkörűen Működő Rt.
8 Oct 2014 · #1784 · Hungary · UCITS
Entity name not disclosed
16 Sept 2014 · #1702 · Romania · MiFID
Entity name not disclosed
11 Sept 2014 · #1722 · Romania · MiFID
Entity name not disclosed
9 Sept 2014 · #1682 · Greece · MiFID
PRELIUM INVESTMENT SERVICES S.A.
9 Sept 2014 · #1686 · Greece · MiFID
Entity name not disclosed
9 Sept 2014 · #1683 · Greece · MiFID
Vestjysk Bank A/S
29 Aug 2014 · #1902 · Denmark · MAD
ABN Amro Bank N.V.
28 Aug 2014 · #5065 · Netherlands · MiFID
CAPITAL SECURITIES S.A.
3 Jul 2014 · #1542 · Greece · MiFID
Entity name not disclosed
3 Jul 2014 · #2305 · Bulgaria · MiFID
Skandiabanken Aktiebolag (publ)
26 Jun 2014 · #1362 · Sweden · MiFID
Entity name not disclosed
30 May 2014 · #1322 · Greece · MiFID
Entity name not disclosed
22 May 2014 · #1282 · Greece · MiFID
Entity name not disclosed
2 May 2014 · #4604 · Denmark · MiFID
Dovre Forvaltning
29 Apr 2014 · #1962 · Lithuania · UCITS
Biggeorge's-NV Ingatlan Befektetési Alapkezelő Zártkörűen Működő Rt.
15 Apr 2014 · #1243 · Hungary · UCITS
AVA Trade EU Limited
4 Mar 2014 · #2534 · Ireland · MiFID
Entity name not disclosed
1 Mar 2014 · #2385 · Bulgaria · MiFID
Entity name not disclosed
1 Mar 2014 · #2403 · Bulgaria · MiFID
Entity name not disclosed
1 Mar 2014 · #2312 · Bulgaria · MiFID
EUROBANK EQUITIES INVESTMENT FIRM S.A.
27 Feb 2014 · #1022 · Greece · MiFID
Data sourced from the ESMA sanctions and enforcement register, updated weekly.
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