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

18 July 2023

ESMA34-1985693317-1074

Report

Penalties and measures imposed under the AIFMD in 2022

1 Executive Summary

Reasons for publication

ESMA is required to draw up an annual report on the application of administrative measures and imposition of penalties in the case of breaches of the provisions adopted in the implementation of the AIFMD in the different Member States. This report contains information on the penalties and measures imposed by NCAs from 1 January 2022 to 31 December 2022.

Contents

Overall, 10 NCAs imposed a total of 128 penalties, with three single amounts of 43, 46 and 18 penalties imposed by three NCAs; the total aggregated value of financial penalties imposed amounted to over two million Euro, with one single amount of EUR 1,520,000 imposed by a single NCA 10 NCAs imposed a total of 146 measures, with four NCAs communicating, respectively, 38, 57, 19 and 16 measures. 16 NCAs did not impose any sanction (penalty or measure) during this reference period.

Broadly, the...