List of investment firms

The Omnibus Directive requires ESMA to establish a list of all investment firms in the European Union. The Registries database centralises all the relevant information in this regard received from the national competent authorities, and contains information on the services or activities for which the investment firm is authorised. The database is updated on a regular basis.

The list of investment firms authorised by the national competent authorities of the Member States also includes information on the services and activities for which the relevant investment firm is authorised and on published administrative measure, sanctions or criminal sanctions relating to the relevant investment firm that may have been imposed pursuant to the provisions of national law implementing MAD and MiFID II]. Where a competent authority has withdrawn an authorisation that withdrawal shall be indicated on the list for a period of five years.

This database contains also data related to European Economic Area (EEA) / European Free Trade Association (EFTA) States based on the notifications received by ESMA, the publication of which does not affect the status of incorporation of relevant EU law into the EEA Agreement and any related legal consequences.