EU ESMA Sanctions
Named regulatory sanctions and measures reported to ESMA by national competent authorities.
Source availability
Available for screening
848 source records are available in the current dataset.
Records can overlap across lists; this is not a count of unique people or organizations.
- Latest successful check
- Our refresh schedule
- Every 6 hours
Data overview
ESMA Regulatory Enforcement Register is published by European Securities and Markets Authority and reporting national authorities.
The available version contains 848 source records before any name search.
The entity-type breakdown is 848 other or unspecified records.
- Source records
- 848
- Publicly browsable records
- 848
- Entity types present
- 1
Record types and how to read these counts
Records by entity type
- Other / unspecified
- 848
What these numbers mean
Counts describe this source’s current available records, before any name search. Records can overlap within and across lists. They are not counts of unique entities.
Publicly browsable records are the portion available in the public directory. A record’s presence does not by itself establish an active sanction.
Organizations include companies and other bodies. Other / unspecified means the source record has no more specific supported type.
What this source covers
The public register contains actions under financial-market legislation, including MiFID, UCITS, market abuse and EMIR. Each record represents an action, not a unique person. Unnamed publisher rows remain in the original snapshot and are excluded from the name index. The public feed does not provide a reliable person/company classification.
Distinguish the action from its current effect
This is regulatory enforcement, not the EU financial asset-freeze list. Check the responsible authority and decision for legal effect, appeals and scope. A publisher expiration date controls data availability and does not establish legal termination. Name removals and anonymization follow the current official snapshot. Linked decisions and third-party material have their own reuse conditions.
- Read the stated action type and procedural status.
- Check the decision, dates and later amendments.
- Keep different orders about the same named party distinct.
Public source records
- J&E Davy Unlimited CompanyEuropean Securities and Markets Authority and reporting national authorities includes J&E Davy Unlimited Company in ESMA Regulatory Enforcement Register. The recorded action date is 1 Mar 2021.Source recordESMA Regulatory Enforcement Register
- Goodbody Stockbrokers UCEuropean Securities and Markets Authority and reporting national authorities includes Goodbody Stockbrokers UC in ESMA Regulatory Enforcement Register. The recorded action date is 27 Feb 2024.Source recordESMA Regulatory Enforcement Register
- UmweltBank AktiengesellschaftEuropean Securities and Markets Authority and reporting national authorities includes UmweltBank Aktiengesellschaft in ESMA Regulatory Enforcement Register. The recorded action date is 26 Feb 2024.Source recordESMA Regulatory Enforcement Register
- FRANCE SAFE MEDIAEuropean Securities and Markets Authority and reporting national authorities includes FRANCE SAFE MEDIA in ESMA Regulatory Enforcement Register. The recorded action date is 10 Nov 2023.Source recordESMA Regulatory Enforcement Register
- QUADRIGA ASSET MANAGERS, SGIIC, S.A.European Securities and Markets Authority and reporting national authorities includes QUADRIGA ASSET MANAGERS, SGIIC, S.A. in ESMA Regulatory Enforcement Register. The recorded action date is 12 Apr 2024.Source recordESMA Regulatory Enforcement Register
- Raiffeisenverband Salzburg eGenEuropean Securities and Markets Authority and reporting national authorities includes Raiffeisenverband Salzburg eGen in ESMA Regulatory Enforcement Register. The recorded action date is 11 Apr 2024.Source recordESMA Regulatory Enforcement Register
- Baader Bank AGEuropean Securities and Markets Authority and reporting national authorities includes Baader Bank AG in ESMA Regulatory Enforcement Register. The recorded action date is 17 May 2024.Source recordESMA Regulatory Enforcement Register
- Oldenburgische Landesbank AGEuropean Securities and Markets Authority and reporting national authorities includes Oldenburgische Landesbank AG in ESMA Regulatory Enforcement Register. The recorded action date is 30 Jan 2024.Source recordESMA Regulatory Enforcement Register
- SOLVENTIS, A.V., S.A.European Securities and Markets Authority and reporting national authorities includes SOLVENTIS, A.V., S.A. in ESMA Regulatory Enforcement Register. The recorded action date is 21 May 2024.Source recordESMA Regulatory Enforcement Register
- SOLVENTIS, A.V., S.A.European Securities and Markets Authority and reporting national authorities includes SOLVENTIS, A.V., S.A. in ESMA Regulatory Enforcement Register. The recorded action date is 21 May 2024.Source recordESMA Regulatory Enforcement Register
- SOLVENTIS, A.V., S.A.European Securities and Markets Authority and reporting national authorities includes SOLVENTIS, A.V., S.A. in ESMA Regulatory Enforcement Register. The recorded action date is 21 May 2024.Source recordESMA Regulatory Enforcement Register
- Volkskreditbank AGEuropean Securities and Markets Authority and reporting national authorities includes Volkskreditbank AG in ESMA Regulatory Enforcement Register. The recorded action date is 13 May 2024.Source recordESMA Regulatory Enforcement Register
- MIRALTA FINANCE BANK SAEuropean Securities and Markets Authority and reporting national authorities includes MIRALTA FINANCE BANK SA in ESMA Regulatory Enforcement Register. The recorded action date is 13 Jun 2024.Source recordESMA Regulatory Enforcement Register
- MIRALTA FINANCE BANK SAEuropean Securities and Markets Authority and reporting national authorities includes MIRALTA FINANCE BANK SA in ESMA Regulatory Enforcement Register. The recorded action date is 13 Jun 2024.Source recordESMA Regulatory Enforcement Register
- GLOBALFINANZAS INVESTMENT GROUP, A.V., S.A.European Securities and Markets Authority and reporting national authorities includes GLOBALFINANZAS INVESTMENT GROUP, A.V., S.A. in ESMA Regulatory Enforcement Register. The recorded action date is 13 Jun 2024.Source recordESMA Regulatory Enforcement Register
- GLOBALFINANZAS INVESTMENT GROUP, A.V., S.A.European Securities and Markets Authority and reporting national authorities includes GLOBALFINANZAS INVESTMENT GROUP, A.V., S.A. in ESMA Regulatory Enforcement Register. The recorded action date is 13 Jun 2024.Source recordESMA Regulatory Enforcement Register
- GLOBALFINANZAS INVESTMENT GROUP, A.V., S.A.European Securities and Markets Authority and reporting national authorities includes GLOBALFINANZAS INVESTMENT GROUP, A.V., S.A. in ESMA Regulatory Enforcement Register. The recorded action date is 13 Jun 2024.Source recordESMA Regulatory Enforcement Register
- ABRDN INVESTMENTS LUXEMBOURG S.A.European Securities and Markets Authority and reporting national authorities includes ABRDN INVESTMENTS LUXEMBOURG S.A. in ESMA Regulatory Enforcement Register. The recorded action date is 2 Apr 2024.Source recordESMA Regulatory Enforcement Register
- Fildax CapitalEuropean Securities and Markets Authority and reporting national authorities includes Fildax Capital in ESMA Regulatory Enforcement Register. The recorded action date is 19 Jul 2024.Source recordESMA Regulatory Enforcement Register
- HYPO NOE Landesbank für Niederösterreich und Wien AGEuropean Securities and Markets Authority and reporting national authorities includes HYPO NOE Landesbank für Niederösterreich und Wien AG in ESMA Regulatory Enforcement Register. The recorded action date is 29 Aug 2024.Source recordESMA Regulatory Enforcement Register
- DTCC Derivatives Repository Limited (DDRL)European Securities and Markets Authority and reporting national authorities includes DTCC Derivatives Repository Limited (DDRL) in ESMA Regulatory Enforcement Register. The recorded action date is 23 Mar 2016.Source recordESMA Regulatory Enforcement Register
- 3P-ConsultEuropean Securities and Markets Authority and reporting national authorities includes 3P-Consult in ESMA Regulatory Enforcement Register. The recorded action date is 5 Sep 2024.Source recordESMA Regulatory Enforcement Register
- DNB ASSET MANAGEMENT S.A.European Securities and Markets Authority and reporting national authorities includes DNB ASSET MANAGEMENT S.A. in ESMA Regulatory Enforcement Register. The recorded action date is 26 Mar 2024.Source recordESMA Regulatory Enforcement Register
- Frontline InvestEuropean Securities and Markets Authority and reporting national authorities includes Frontline Invest in ESMA Regulatory Enforcement Register. The recorded action date is 25 Sep 2024.Source recordESMA Regulatory Enforcement Register
- REGIS-TR S.A.European Securities and Markets Authority and reporting national authorities includes REGIS-TR S.A. in ESMA Regulatory Enforcement Register. The recorded action date is 11 Jul 2019.Source recordESMA Regulatory Enforcement Register
- DTCC Derivatives Repository PlcEuropean Securities and Markets Authority and reporting national authorities includes DTCC Derivatives Repository Plc in ESMA Regulatory Enforcement Register. The recorded action date is 8 Jul 2021.Source recordESMA Regulatory Enforcement Register
- UnaVista LimitedEuropean Securities and Markets Authority and reporting national authorities includes UnaVista Limited in ESMA Regulatory Enforcement Register. The recorded action date is 21 Sep 2021.Source recordESMA Regulatory Enforcement Register
- REGIS TR, S.A.European Securities and Markets Authority and reporting national authorities includes REGIS TR, S.A. in ESMA Regulatory Enforcement Register. The recorded action date is 22 Mar 2022.Source recordESMA Regulatory Enforcement Register
- BRED - Banque populaireEuropean Securities and Markets Authority and reporting national authorities includes BRED - Banque populaire in ESMA Regulatory Enforcement Register. The recorded action date is 12 Oct 2023.Source recordESMA Regulatory Enforcement Register
- STELLIUM INVESTEuropean Securities and Markets Authority and reporting national authorities includes STELLIUM INVEST in ESMA Regulatory Enforcement Register. The recorded action date is 15 Feb 2024.Source recordESMA Regulatory Enforcement Register
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Questions about EU ESMA Sanctions
Who publishes EU ESMA Sanctions?
The catalog identifies European Securities and Markets Authority as the publisher in European Union. Open the publisher reference. SanctionsKit’s source profile is separate from that publisher’s original records and notices.
Can I select EU ESMA Sanctions for screening?
The current source snapshot marks EU ESMA Sanctions as available for screening. Select its source ID, eu-esma-sanctions, when your policy requires it. Check availability again when you run a request. This status does not by itself grant public browsing or export rights.
Can I browse current EU ESMA Sanctions records here?
Current public records from EU ESMA Sanctions can be browsed here. The current source contains 848 records. This counts source records, not distinct people, companies or assets. An empty name search is not a completed screening check.
May I reuse or export EU ESMA Sanctions records?
Access to EU ESMA Sanctions does not grant every right to copy, export or redistribute it. Read the source reuse terms and the attribution notice for the version you use. A public record page or working screening integration is not an export permission. Follow the conditions that apply to your intended use.
Continue exploring
Source discovery reference: OpenSanctions source catalog, captured . Import and record counts above come from SanctionsKit.