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ESMA Risk Dashboard No. 2 2019
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ESMA publishes third annual report on use of sanctions for UCITS
The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, today publishes its 2019 report on the use of supervisory sanctions by National Competent Authorities (NCAs) under the Undertakings for Collective Investments in Transferrable Securities (UCITS) Directive. While the number of NCAs issuing sanctions (penalties and measures) remains stable at 15, compared to […]