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
3P-Consult
5 Sept 2024 · #13222 · Austria · MiFID
Entity name not disclosed
31 Aug 2024 · #13378 · Poland · MiFID
HYPO NOE Landesbank für Niederösterreich und Wien AG
29 Aug 2024 · #13187 · Austria · MiFID
Entity name not disclosed
22 Aug 2024 · #13150 · Greece · MiFID
Entity name not disclosed
22 Aug 2024 · #13151 · Greece · MiFID
Entity name not disclosed
9 Aug 2024 · #13250 · Czechia · MiFID
EXELCIUS PRIME LTD
7 Aug 2024 · #14157 · Cyprus · MiFID
VALOR, o.c.p., a.s.
31 Jul 2024 · #13746 · Slovakia · MiFID
Entity name not disclosed
22 Jul 2024 · #13249 · Czechia · MiFID
Fildax Capital
19 Jul 2024 · #13067 · Austria · MiFID
Entity name not disclosed
3 Jul 2024 · #13006 · Germany · MiFID
ProRealTime
2 Jul 2024 · #13725 · France · MiFID
GOLDRING S.A.
26 Jun 2024 · #13452 · Romania · MiFID
GOLDRING S.A.
26 Jun 2024 · #13448 · Romania · MiFID
Entity name not disclosed
26 Jun 2024 · #13484 · Romania · MiFID
GOLDRING S.A.
26 Jun 2024 · #13447 · Romania · MiFID
GOLDRING S.A.
26 Jun 2024 · #13450 · Romania · MiFID
GOLDRING S.A.
26 Jun 2024 · #13451 · Romania · MiFID
Entity name not disclosed
24 Jun 2024 · #13493 · Poland · MiFID
Entity name not disclosed
20 Jun 2024 · #13381 · Poland · MiFID
Entity name not disclosed
18 Jun 2024 · #12906 · Sweden · MiFID
Entity name not disclosed
14 Jun 2024 · #13380 · Poland · MiFID
Entity name not disclosed
14 Jun 2024 · #13248 · Czechia · MiFID
Entity name not disclosed
14 Jun 2024 · #13379 · Poland · MiFID
RENTA MARKETS, S.V., S.A.
13 Jun 2024 · #12946 · Spain · MiFID
GLOBALFINANZAS INVESTMENT GROUP, A.V., S.A.
13 Jun 2024 · #12949 · Spain · MiFID
GLOBALFINANZAS INVESTMENT GROUP, A.V., S.A.
13 Jun 2024 · #12948 · Spain · MiFID
GLOBALFINANZAS INVESTMENT GROUP, A.V., S.A.
13 Jun 2024 · #12950 · Spain · MiFID
RENTA MARKETS, S.V., S.A.
13 Jun 2024 · #12947 · Spain · MiFID
GOLDRING S.A.
13 Jun 2024 · #13453 · Romania · MiFID
Entity name not disclosed
4 Jun 2024 · #13168 · Netherlands · MiFID
SOLVENTIS, A.V., S.A.
21 May 2024 · #12891 · Spain · MiFID
SOLVENTIS, A.V., S.A.
21 May 2024 · #12893 · Spain · MiFID
SOLVENTIS, A.V., S.A.
21 May 2024 · #12892 · Spain · MiFID
Baader Bank AG
17 May 2024 · #12848 · Germany · MiFID
Volkskreditbank AG
13 May 2024 · #12895 · Austria · MiFID
MCA INTELIFUNDS LTD
19 Apr 2024 · #14153 · Cyprus · MiFID
Eurizon Asset Management Hungary Zártkörűen Működő Rt.
16 Apr 2024 · #13287 · Hungary · UCITS
Eurizon Asset Management Hungary Zártkörűen Működő Rt.
16 Apr 2024 · #13455 · Hungary · UCITS
QUADRIGA ASSET MANAGERS, SGIIC, S.A.
12 Apr 2024 · #12826 · Spain · UCITS
Raiffeisenverband Salzburg eGen
11 Apr 2024 · #12845 · Austria · MiFID
Entity name not disclosed
8 Apr 2024 · #12745 · Germany · MiFID
Erste Befektetési Zrt.
5 Apr 2024 · #13464 · Hungary · MiFID
Erste Befektetési Zrt.
5 Apr 2024 · #13460 · Hungary · MiFID
Erste Befektetési Zrt.
5 Apr 2024 · #13474 · Hungary · MAR
Erste Befektetési Zrt.
5 Apr 2024 · #13472 · Hungary · MiFID
Erste Befektetési Zrt.
5 Apr 2024 · #13461 · Hungary · MiFID
Erste Befektetési Zrt.
5 Apr 2024 · #13473 · Hungary · MiFID
Erste Befektetési Zrt.
5 Apr 2024 · #13467 · Hungary · MiFID
Erste Befektetési Zrt.
5 Apr 2024 · #13471 · Hungary · MiFID
Data sourced from the ESMA sanctions and enforcement register, updated weekly.
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