Europejski Urząd Nadzoru Giełd i Papierów Wartościowych (European Securities and Markets Authority - ESMA), Sprawozdanie w sprawie kar i środków nałożonych na mocy dyrektywy UCITS w 2022 r.

18 July 2023

ESMA34-1921782652-1922

Report

Penalties and measures imposed under the UCITS Directive in 2022

1 Executive Summary

Reasons for publication

ESMA is required to publish an annual report with aggregated information on all penalties and measures imposed by National Competent Authorities (NCAs) pursuant to the UCITS Directive. This report contains information on the penalties and measures imposed by NCAs from 1 January 2022 to 31 December 2022.

Contents

Overall, nine NCAs imposed a total of 38 penalties; the total aggregated value of financial penalties imposed amounted to over 97 million Euro, with an amount of over 95 million Euro imposed by a single NCA . Seven NCAs imposed a total of 18 measures. 16 NCAs did not impose any sanction (penalty or measure) during the reference period.

Broadly, the data gathered under the sanction reports published so far keeps evidencing that the sanctioning powers are not equally used among NCAs. More specifically, the pattern evidenced throughout...