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
31 Aug 2023 · #13534 · Poland · MiFID
Entity name not disclosed
31 Aug 2023 · #13533 · Poland · MiFID
Entity name not disclosed
31 Aug 2023 · #13532 · Poland · MiFID
Entity name not disclosed
24 Aug 2023 · #13529 · Poland · MiFID
Entity name not disclosed
1 Aug 2023 · #14151 · Cyprus · MiFID
Entity name not disclosed
28 Jul 2023 · #12177 · Spain · MiFID
LINK SECURITIES, SOCIEDAD DE VALORES, S.A.
28 Jul 2023 · #12170 · Spain · MiFID
Entity name not disclosed
28 Jul 2023 · #12178 · Spain · MiFID
LINK SECURITIES, SOCIEDAD DE VALORES, S.A.
28 Jul 2023 · #12165 · Spain · MiFID
LINK SECURITIES, SOCIEDAD DE VALORES, S.A.
28 Jul 2023 · #12175 · Spain · MiFID
Entity name not disclosed
28 Jul 2023 · #12168 · Spain · MiFID
Entity name not disclosed
28 Jul 2023 · #12174 · Spain · MiFID
Entity name not disclosed
28 Jul 2023 · #12167 · Spain · MiFID
Entity name not disclosed
28 Jul 2023 · #12172 · Spain · MiFID
Entity name not disclosed
28 Jul 2023 · #12169 · Spain · MiFID
Entity name not disclosed
28 Jul 2023 · #12179 · Spain · MiFID
Entity name not disclosed
28 Jul 2023 · #12176 · Spain · MiFID
Entity name not disclosed
28 Jul 2023 · #12173 · Spain · MiFID
Entity name not disclosed
28 Jul 2023 · #12166 · Spain · MiFID
Entity name not disclosed
28 Jul 2023 · #12171 · Spain · MiFID
Entity name not disclosed
27 Jul 2023 · #12093 · Cyprus · MiFID
Entity name not disclosed
25 Jul 2023 · #12091 · Cyprus · MiFID
European American Investment Bank Aktiengesellschaft in Abwicklung
18 Jul 2023 · #12094 · Austria · MiFID
Entity name not disclosed
17 Jul 2023 · #12192 · Spain · MiFID
Entity name not disclosed
17 Jul 2023 · #12190 · Spain · MiFID
Entity name not disclosed
17 Jul 2023 · #12181 · Spain · MiFID
Entity name not disclosed
17 Jul 2023 · #12186 · Spain · MiFID
Entity name not disclosed
17 Jul 2023 · #12188 · Spain · MiFID
Entity name not disclosed
17 Jul 2023 · #12189 · Spain · MiFID
ACTIVOTRADE VALORES, SOCIEDAD DE VALORES, SOCIEDAD ANÓNIMA
17 Jul 2023 · #12180 · Spain · MiFID
Entity name not disclosed
17 Jul 2023 · #12187 · Spain · MiFID
Entity name not disclosed
17 Jul 2023 · #12191 · Spain · MiFID
Entity name not disclosed
13 Jul 2023 · #12090 · Cyprus · MiFID
SINUS-FAIR Corporate Zártkörűen Működő Részvénytársaság
12 Jul 2023 · #12096 · Hungary · MiFID
Entity name not disclosed
12 Jul 2023 · #12089 · Cyprus · MiFID
Entity name not disclosed
26 Jun 2023 · #14149 · Cyprus · MiFID
Entity name not disclosed
20 Jun 2023 · #12088 · Cyprus · MiFID
Banque CIC Sud Ouest
19 Jun 2023 · #12307 · France · MiFID
Crédit industriel et commercial - CIC
19 Jun 2023 · #12306 · France · MiFID
BANCA SELLA HOLDING SPA
14 Jun 2023 · #11968 · Italy · EMIR
UAB "Synergy finance"
13 Jun 2023 · #12005 · Lithuania · UCITS
Interactive Brokers Central Europe Zártkörűen Működő Részvénytársaság
9 Jun 2023 · #12081 · Hungary · MiFID
Ermitage Partners Oy
7 Jun 2023 · #12145 · Finland · MiFID
DANSKE BANK A/S NUF
16 May 2023 · #13708 · Norway · MiFID
Entity name not disclosed
8 May 2023 · #14148 · Cyprus · MiFID
Swiss Life Select Österreich GmbH
5 May 2023 · #12566 · Austria · MiFID
Swiss Life Select Österreich GmbH
5 May 2023 · #12565 · Austria · MiFID
MEDIRECT BANK (MALTA) PLC
27 Apr 2023 · #11805 · Malta · MAR
CODEX Értéktár Zártkörűen Működő Részvénytársaság
6 Apr 2023 · #12079 · Hungary · MiFID
BANCA POPOLARE DEL MEDITERRANEO SCPA
5 Apr 2023 · #11949 · Italy · MiFID
Data sourced from the ESMA sanctions and enforcement register, updated weekly.
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