{"kind":"evidence_file","company":{"id":"0e258bf0-4098-407c-806f-1f64a9557fb4","name":"UB Securities Ltd","mergedInto":null},"asOf":"2026-10-25T02:40:44.696Z","asOfBasis":"instant","generatedAt":"2026-10-25T03:42:36.697Z","claims":[{"predicate":"identifier","value":"reg_number:0772898-5","source":"Finland PRH YTJ Register","sourceUrl":"https://avoindata.prh.fi","sourceRecordId":"0772898-5","observedAt":"2026-09-19T11:45:17.136Z","confirmedAt":"2026-09-19T11:45:17.136Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"name","value":"ub securities","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn3640","observedAt":"2026-09-12T19:04:44.239Z","confirmedAt":"2026-10-23T12:00:05.752Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"name","value":"ub securities","source":"Finland PRH YTJ Register","sourceUrl":"https://avoindata.prh.fi","sourceRecordId":"0772898-5","observedAt":"2026-09-19T11:45:17.092Z","confirmedAt":"2026-09-19T11:45:17.091Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"primary_country","value":"FI","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn3640","observedAt":"2026-09-12T19:04:44.242Z","confirmedAt":"2026-10-23T12:00:05.756Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"primary_country","value":"FI","source":"Finland PRH YTJ Register","sourceUrl":"https://avoindata.prh.fi","sourceRecordId":"0772898-5","observedAt":"2026-09-19T11:45:17.099Z","confirmedAt":"2026-09-19T11:45:17.098Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"3640","regime":"Finanssivalvonta (FSA)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:04:44.259Z","designatedAt":"2012-06-14T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Finanssivalvonta antoi julkisen huomautuksen ja määräsi rikemaksun UB Securities Oy:lle Finanssivalvonta on antanut UB Securities Oy:lle julkisen huomautuksen laiminlyönneistä, jotka koskevat sijoituspalveluyrityksen luotettavan hallinnon sekä sisäisen valvonnan ja riskienhallinnan järjestämistä. Yhtiölle on lisäksi määrätty 10 000 euron rikemaksu kaupparaportointiin liittyvien säännösten laiminlyönneistä. Finanssivalvonta havaitsi laiminlyönnit syksyllä 2011 tekemässään tarkastuksessa, jonka kohteena oli toimeksiantojen huolellinen toteuttaminen (best execution) ja kaupparaportointi. Julkinen huomautus mm. luotettavan hallinnon järjestämistä koskevista laiminlyönneistä UB Securities Oy:n luotettavan hallinnon sekä sisäisen valvonnan ja riskienhallinnan järjestämisessä havaittiin tarkastuksessa useita laiminlyöntejä. Yhtiöllä ei muun muassa ollut tarkastuksen kohteena olleilta osa-alueilta joko lainkaan sisäisiä ohjeita tai ohjeet olivat puutteelliset. Laiminlyöntejä osoitti osaltaan muun muassa myös se, että kaikilta asiakkailta ei ollut pyydetty nimenomaista suostumusta kauppojen toteuttamiseen julkisen tai monenkeskisen kaupankäynnin ulkopuolella. Myöskään yhtiön nykyisen sidonnaisasiamiehen kanssa ei ollut tehty lain edellyttämää kirjallista sopimusta eikä asiamiehen valvontaa ollut järjestetty riittävällä tavalla. Luotettavan hallinnon, sisäisen valvonnan ja riskienhallinnan järjestämisessä havaittujen laiminlyöntien osalta Finanssivalvonnan käytettävissä olevia hallinnollisia sanktioita ovat julkinen huomautus ja julkinen varoitus. Rikemaksu kaupparaportoinnin puutteista Kaupparaportoinnin tarkastuksessa Finanssivalvonta havaitsi, että yhtiö oli jättänyt pitkältä ajalta raportoimatta Finanssivalvonnalle joukkovelkakirjoilla ja johdannaissopimuksilla toteuttamiaan liiketoimia. Finanssivalvonta oli jo aiemmin kiinnittänyt yhtiön huomiota joukkovelkakirjojen raportointiin. Myös yhtiön raportoimien tietojen oikeellisuudessa havaittiin virheitä. Kaupparaportoinnin laiminlyönnin osalta Finanssivalvonnan käytettävissä oleva sanktio on rikemaksu, joka määrätään maksettavaksi valtiolle. Rikemaksun enimmäismäärä on 10 000 euroa. Julkinen huomautus ja rikemaksu eivät ole lainvoimaisia. Yhtiöllä on oikeus valittaa Helsingin hallinto-oikeuteen 14.6.2012 annetuista päätöksistä 30 päivän aikana siitä, kun yhtiö on saanut päätöksistä tiedon.\n\n[original (Finnish)]\n\nFinancial Supervisory Authority issues public reprimand and imposes administrative fine on UB Securities Ltd. The Financial Supervisory Authority (FIN-FSA) has issued a public reprimand to UB Securities Ltd in respect of omissions in the organisation of sound corporate governance, internal control and risk management of investment firms. FIN-FSA has ordered the company to pay an administrative fine of EUR 10,000 for negligence of transaction-reporting regulations. FIN-FSA became aware of the omissions during an inspection in autumn 2011, which focused on best execution and transaction reporting. Public reprimand for omissions regarding eg organisation of sound corporate governance FIN-FSA identified during the inspection several omissions in UB Securities Ltd's sound corporate governance, internal control and risk management arrangements. For example, UB Securities Ltd did not have internal guidelines for certain areas subject to the inspection, or the guidelines were inadequate. Another indicator of negligence was that not all customers had been requested to give express consent for the execution of transactions outside public or multilateral trading. Moreover, UB Securities Ltd had failed to sign a written agreement with its current tied agent, as required by law, and the supervision arrangements related to the agent were insufficient. In connection with the identified omissions regarding the arrangement of sound corporate governance, internal control and risk management, the administrative sanctions available to FIN-FSA are public reprimand and public warning. Administrative fine for deficiencies in transaction reporting In the course of the inspection of transaction reporting, FIN-FSA became aware that UB Securities Ltd had over a long period failed to report to FIN-FSA business transactions involving bonds and derivatives. FIN-FSA had already on a prior occassion drawn the company's attention to reporting on bonds. Deficiencies were also found in the accuracy of the data reported by the company. The sanction available to FIN-FSA in respect of negligence of transaction reporting is the administrative fine, to be paid to the State. The maximum amount of the administrative fine is EUR 10,000. The public reprimand and administrative fine do not have legal force. The company has the right to appeal the decisions adopted on 14 June 2012 to the Helsinki Administrative Court within 30 days of the company’s receipt of notice of said decisions.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn3640","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"3640","regime":"Finanssivalvonta (FSA)","program":"MiFID","state":"in_force","stateSince":"2026-09-12T19:14:22.090Z","recordedAt":"2026-09-12T19:14:22.090Z","designatedAt":"2012-06-14T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Finanssivalvonta antoi julkisen huomautuksen ja määräsi rikemaksun UB Securities Oy:lle Finanssivalvonta on antanut UB Securities Oy:lle julkisen huomautuksen laiminlyönneistä, jotka koskevat sijoituspalveluyrityksen luotettavan hallinnon sekä sisäisen valvonnan ja riskienhallinnan järjestämistä. Yhtiölle on lisäksi määrätty 10 000 euron rikemaksu kaupparaportointiin liittyvien säännösten laiminlyönneistä. Finanssivalvonta havaitsi laiminlyönnit syksyllä 2011 tekemässään tarkastuksessa, jonka kohteena oli toimeksiantojen huolellinen toteuttaminen (best execution) ja kaupparaportointi. Julkinen huomautus mm. luotettavan hallinnon järjestämistä koskevista laiminlyönneistä UB Securities Oy:n luotettavan hallinnon sekä sisäisen valvonnan ja riskienhallinnan järjestämisessä havaittiin tarkastuksessa useita laiminlyöntejä. Yhtiöllä ei muun muassa ollut tarkastuksen kohteena olleilta osa-alueilta joko lainkaan sisäisiä ohjeita tai ohjeet olivat puutteelliset. Laiminlyöntejä osoitti osaltaan muun muassa myös se, että kaikilta asiakkailta ei ollut pyydetty nimenomaista suostumusta kauppojen toteuttamiseen julkisen tai monenkeskisen kaupankäynnin ulkopuolella. Myöskään yhtiön nykyisen sidonnaisasiamiehen kanssa ei ollut tehty lain edellyttämää kirjallista sopimusta eikä asiamiehen valvontaa ollut järjestetty riittävällä tavalla. Luotettavan hallinnon, sisäisen valvonnan ja riskienhallinnan järjestämisessä havaittujen laiminlyöntien osalta Finanssivalvonnan käytettävissä olevia hallinnollisia sanktioita ovat julkinen huomautus ja julkinen varoitus. Rikemaksu kaupparaportoinnin puutteista Kaupparaportoinnin tarkastuksessa Finanssivalvonta havaitsi, että yhtiö oli jättänyt pitkältä ajalta raportoimatta Finanssivalvonnalle joukkovelkakirjoilla ja johdannaissopimuksilla toteuttamiaan liiketoimia. Finanssivalvonta oli jo aiemmin kiinnittänyt yhtiön huomiota joukkovelkakirjojen raportointiin. Myös yhtiön raportoimien tietojen oikeellisuudessa havaittiin virheitä. Kaupparaportoinnin laiminlyönnin osalta Finanssivalvonnan käytettävissä oleva sanktio on rikemaksu, joka määrätään maksettavaksi valtiolle. Rikemaksun enimmäismäärä on 10 000 euroa. Julkinen huomautus ja rikemaksu eivät ole lainvoimaisia. Yhtiöllä on oikeus valittaa Helsingin hallinto-oikeuteen 14.6.2012 annetuista päätöksistä 30 päivän aikana siitä, kun yhtiö on saanut päätöksistä tiedon.\n\n[original (Finnish)]\n\nFinancial Supervisory Authority issues public reprimand and imposes administrative fine on UB Securities Ltd. The Financial Supervisory Authority (FIN-FSA) has issued a public reprimand to UB Securities Ltd in respect of omissions in the organisation of sound corporate governance, internal control and risk management of investment firms. FIN-FSA has ordered the company to pay an administrative fine of EUR 10,000 for negligence of transaction-reporting regulations. FIN-FSA became aware of the omissions during an inspection in autumn 2011, which focused on best execution and transaction reporting. Public reprimand for omissions regarding eg organisation of sound corporate governance FIN-FSA identified during the inspection several omissions in UB Securities Ltd's sound corporate governance, internal control and risk management arrangements. For example, UB Securities Ltd did not have internal guidelines for certain areas subject to the inspection, or the guidelines were inadequate. Another indicator of negligence was that not all customers had been requested to give express consent for the execution of transactions outside public or multilateral trading. Moreover, UB Securities Ltd had failed to sign a written agreement with its current tied agent, as required by law, and the supervision arrangements related to the agent were insufficient. In connection with the identified omissions regarding the arrangement of sound corporate governance, internal control and risk management, the administrative sanctions available to FIN-FSA are public reprimand and public warning. Administrative fine for deficiencies in transaction reporting In the course of the inspection of transaction reporting, FIN-FSA became aware that UB Securities Ltd had over a long period failed to report to FIN-FSA business transactions involving bonds and derivatives. FIN-FSA had already on a prior occassion drawn the company's attention to reporting on bonds. Deficiencies were also found in the accuracy of the data reported by the company. The sanction available to FIN-FSA in respect of negligence of transaction reporting is the administrative fine, to be paid to the State. The maximum amount of the administrative fine is EUR 10,000. The public reprimand and administrative fine do not have legal force. The company has the right to appeal the decisions adopted on 14 June 2012 to the Helsinki Administrative Court within 30 days of the company’s receipt of notice of said decisions.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn3640","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"}],"ownership":[],"lists":[{"source":"Australia DFAT Consolidated List","readAt":"2026-10-19T06:31:20.009Z","recordsRead":3650,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"Brazil CEIS (national procurement exclusions)","readAt":"2026-10-21T07:09:26.477Z","recordsRead":23804,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 21 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"Brazil MTE employer register (lista suja)","readAt":"2026-10-21T10:00:17.817Z","recordsRead":508,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 21 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"Brazil TCU (firms declared inidôneas)","readAt":"2026-10-22T12:30:23.053Z","recordsRead":94,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 22 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"Canada Consolidated Autonomous Sanctions List","readAt":"2026-10-19T06:01:52.829Z","recordsRead":5708,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"EBRD Ineligible Entities","readAt":"2026-10-22T07:01:26.921Z","recordsRead":1278,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 22 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"ESMA Sanctions Register","readAt":"2026-10-23T12:00:38.517Z","recordsRead":845,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"EU Consolidated Sanctions List","readAt":"2026-10-19T04:32:49.638Z","recordsRead":6234,"publishedAt":"2026-10-15T10:10:34.160Z","publishedAtBasis":"stated_in_file","publisherVersion":"globalFileId 185699","publisherRecordCount":null,"daysOldWhenRead":4,"detail":null,"statement":"Read on 19 October 2026. The publisher dates the file 15 October 2026, 4 days before it was read."},{"source":"France AMF blacklist of unauthorised actors","readAt":"2026-10-23T11:09:40.219Z","recordsRead":2574,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"IDB Sanctioned Firms and Individuals","readAt":"2026-10-23T07:40:32.344Z","recordsRead":530,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"Japan MOF Sanctions List","readAt":"2026-10-19T08:31:05.802Z","recordsRead":2900,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"Latvia FID frozen assets register","readAt":"2026-10-20T06:00:31.335Z","recordsRead":183,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 20 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"Malaysia BNM financial consumer alert list","readAt":"2026-10-19T11:00:24.650Z","recordsRead":588,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"Malaysia SC investor alert list","readAt":"2026-10-19T09:01:15.606Z","recordsRead":1795,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"New Zealand Russia Sanctions Register","readAt":"2026-10-20T07:20:49.613Z","recordsRead":529,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 20 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"Norges Bank (fund exclusions and observation)","readAt":"2026-10-20T10:00:22.713Z","recordsRead":201,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 20 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"OFAC Consolidated (non-SDN)","readAt":"2026-10-19T04:12:05.684Z","recordsRead":481,"publishedAt":"2026-09-14T00:00:00.000Z","publishedAtBasis":"stated_in_file","publisherVersion":null,"publisherRecordCount":481,"daysOldWhenRead":35,"detail":null,"statement":"Read on 19 October 2026. The publisher dates the file 14 September 2026, 35 days before it was read."},{"source":"OFAC SDN","readAt":"2026-10-19T04:11:19.630Z","recordsRead":17556,"publishedAt":"2026-10-15T00:00:00.000Z","publishedAtBasis":"stated_in_file","publisherVersion":null,"publisherRecordCount":19457,"daysOldWhenRead":4,"detail":null,"statement":"Read on 19 October 2026. The publisher dates the file 15 October 2026, 4 days before it was read."},{"source":"Poland MSWiA sanctions list","readAt":"2026-10-21T12:00:25.287Z","recordsRead":131,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 21 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"SAM.gov Exclusions (US federal)","readAt":"2026-10-24T06:06:25.724Z","recordsRead":10194,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 24 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"Slovenia KPK business restrictions","readAt":"2026-10-15T11:03:08.201Z","recordsRead":4351,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 15 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"Swiss FINMA warning list","readAt":"2026-10-19T06:17:48.138Z","recordsRead":2372,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"Switzerland SECO Sanctions List","readAt":"2026-10-19T09:03:29.863Z","recordsRead":7040,"publishedAt":"2026-10-15T00:00:00.000Z","publishedAtBasis":"stated_in_file","publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":4,"detail":null,"statement":"Read on 19 October 2026. The publisher dates the file 15 October 2026, 4 days before it was read."},{"source":"Taiwan SHTC export entity list","readAt":"2026-10-21T12:32:56.889Z","recordsRead":11664,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 21 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"Türkiye MASAK asset freezes","readAt":"2026-10-22T12:00:24.158Z","recordsRead":2304,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 22 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"UK OFSI Consolidated List","readAt":"2026-10-08T15:05:56.072Z","recordsRead":5120,"publishedAt":"2026-06-03T00:00:00.000Z","publishedAtBasis":"newest_record_date","publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":127,"detail":"Newest designation in the file: 2025-12-19.","statement":"Read on 8 October 2026. The file carries no date of its own; its newest record is dated 3 June 2026, 127 days before it was read. Newest designation in the file: 2025-12-19."},{"source":"UK Sanctions List (FCDO)","readAt":"2026-10-19T05:02:06.515Z","recordsRead":5705,"publishedAt":"2026-10-16T00:00:00.000Z","publishedAtBasis":"stated_in_file","publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":3,"detail":null,"statement":"Read on 19 October 2026. 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No date from the publisher is read for this file, so its age is not known here."}],"reading":{"assessmentId":"9cda4fa7-c853-43ab-b2de-0861df253ad9","takenAt":"2026-09-19T12:00:06.280Z","methodology":"v4","level":"medium","overall":60,"digest":"3604418ae0e1a4d0c109e192134a894758eedc2c","coverage":{"dimensions":[{"counts":{"found":1,"not_found":31},"sources":[{"name":"Australia DFAT Consolidated List","status":"not_found","attemptedAt":"2026-09-18T18:00:20.529Z","listDatedAt":null,"listDateBasis":null},{"name":"Brazil CEIS (national procurement exclusions)","status":"not_found","attemptedAt":"2026-09-18T13:10:00.853Z","listDatedAt":null,"listDateBasis":null},{"name":"Brazil MTE employer register (lista suja)","status":"not_found","attemptedAt":"2026-09-18T15:30:10.968Z","listDatedAt":null,"listDateBasis":null},{"name":"Brazil TCU (firms declared inidôneas)","status":"not_found","attemptedAt":"2026-09-18T13:15:09.743Z","listDatedAt":null,"listDateBasis":null},{"name":"Canada Consolidated 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List","status":"not_found","attemptedAt":"2026-09-18T11:45:26.963Z","listDatedAt":null,"listDateBasis":null},{"name":"Latvia FID frozen assets register","status":"not_found","attemptedAt":"2026-09-18T10:30:12.531Z","listDatedAt":null,"listDateBasis":null},{"name":"Malaysia BNM financial consumer alert list","status":"not_found","attemptedAt":"2026-09-18T19:15:06.620Z","listDatedAt":null,"listDateBasis":null},{"name":"Malaysia SC investor alert list","status":"not_found","attemptedAt":"2026-09-18T18:45:52.376Z","listDatedAt":null,"listDateBasis":null},{"name":"New Zealand Russia Sanctions Register","status":"not_found","attemptedAt":"2026-09-15T10:45:31.850Z","listDatedAt":null,"listDateBasis":null},{"name":"Norges Bank (fund exclusions and observation)","status":"not_found","attemptedAt":"2026-09-15T11:15:06.194Z","listDatedAt":null,"listDateBasis":null},{"name":"OFAC Consolidated (non-SDN)","status":"not_found","attemptedAt":"2026-09-17T19:30:15.783Z","listDatedAt":"2026-09-14T00:00:00.000Z","listDateBasis":"stated_in_file"},{"name":"OFAC SDN","status":"not_found","attemptedAt":"2026-09-13T14:44:59.989Z","listDatedAt":"2026-09-10T00:00:00.000Z","listDateBasis":"stated_in_file"},{"name":"Poland MSWiA sanctions list","status":"not_found","attemptedAt":"2026-09-18T08:33:14.366Z","listDatedAt":null,"listDateBasis":null},{"name":"SAM.gov Exclusions (US federal)","status":"not_found","attemptedAt":"2026-09-18T15:20:37.622Z","listDatedAt":null,"listDateBasis":null},{"name":"Slovenia KPK business restrictions","status":"not_found","attemptedAt":"2026-09-18T20:47:07.803Z","listDatedAt":null,"listDateBasis":null},{"name":"Swiss FINMA warning list","status":"not_found","attemptedAt":"2026-09-18T07:59:36.042Z","listDatedAt":null,"listDateBasis":null},{"name":"Switzerland SECO Sanctions List","status":"not_found","attemptedAt":"2026-09-16T22:00:30.404Z","listDatedAt":"2026-09-04T00:00:00.000Z","listDateBasis":"stated_in_file"},{"name":"Taiwan SHTC export entity list","status":"not_found","attemptedAt":"2026-09-19T09:02:11.616Z","listDatedAt":null,"listDateBasis":null},{"name":"Türkiye MASAK asset freezes","status":"not_found","attemptedAt":"2026-09-18T15:45:16.112Z","listDatedAt":null,"listDateBasis":null},{"name":"UK OFSI Consolidated List","status":"not_found","attemptedAt":"2026-09-13T14:35:45.666Z","listDatedAt":"2026-06-03T00:00:00.000Z","listDateBasis":"newest_record_date"},{"name":"UK Sanctions List (FCDO)","status":"not_found","attemptedAt":"2026-09-14T19:09:48.260Z","listDatedAt":"2026-09-11T00:00:00.000Z","listDateBasis":"stated_in_file"},{"name":"UN Security Council Consolidated List","status":"not_found","attemptedAt":"2026-09-13T14:28:42.314Z","listDatedAt":"2026-09-12T23:00:05.988Z","listDateBasis":"stated_in_file"},{"name":"US CBP forced-labour orders (WRO & Findings)","status":"not_found","attemptedAt":"2026-09-15T13:00:02.605Z","listDatedAt":null,"listDateBasis":null},{"name":"US Consolidated Screening List","status":"not_found","attemptedAt":"2026-09-18T18:32:26.806Z","listDatedAt":null,"listDateBasis":null},{"name":"US UFLPA Entity List","status":"not_found","attemptedAt":"2026-09-15T11:00:12.435Z","listDatedAt":null,"listDateBasis":null},{"name":"World Bank Listing of Ineligible Firms and Individuals","status":"not_found","attemptedAt":"2026-09-17T19:45:29.118Z","listDatedAt":null,"listDateBasis":null}],"dimension":"sanctions"},{"counts":{"not_found":15},"sources":[{"name":"Brazil CEIS (national procurement exclusions)","status":"not_found","attemptedAt":"2026-09-18T13:10:12.751Z","listDatedAt":null,"listDateBasis":null},{"name":"Brazil MTE employer register (lista suja)","status":"not_found","attemptedAt":"2026-09-18T15:30:20.699Z","listDatedAt":null,"listDateBasis":null},{"name":"Brazil TCU (firms declared inidôneas)","status":"not_found","attemptedAt":"2026-09-18T13:15:16.958Z","listDatedAt":null,"listDateBasis":null},{"name":"EBRD Ineligible Entities","status":"not_found","attemptedAt":"2026-09-17T20:01:12.454Z","listDatedAt":null,"listDateBasis":null},{"name":"France AMF blacklist of unauthorised actors","status":"not_found","attemptedAt":"2026-09-18T11:10:17.026Z","listDatedAt":null,"listDateBasis":null},{"name":"IDB Sanctioned Firms and Individuals","status":"not_found","attemptedAt":"2026-09-18T10:45:16.166Z","listDatedAt":null,"listDateBasis":null},{"name":"Malaysia BNM financial consumer alert list","status":"not_found","attemptedAt":"2026-09-18T19:15:13.637Z","listDatedAt":null,"listDateBasis":null},{"name":"Malaysia SC investor alert list","status":"not_found","attemptedAt":"2026-09-18T18:45:59.519Z","listDatedAt":null,"listDateBasis":null},{"name":"Norges Bank (fund exclusions and observation)","status":"not_found","attemptedAt":"2026-09-15T11:15:15.616Z","listDatedAt":null,"listDateBasis":null},{"name":"SAM.gov Exclusions (US federal)","status":"not_found","attemptedAt":"2026-09-18T15:20:48.948Z","listDatedAt":null,"listDateBasis":null},{"name":"Slovenia KPK business restrictions","status":"not_found","attemptedAt":"2026-09-18T20:47:16.426Z","listDatedAt":null,"listDateBasis":null},{"name":"Swiss FINMA warning list","status":"not_found","attemptedAt":"2026-09-18T07:59:46.146Z","listDatedAt":null,"listDateBasis":null},{"name":"US CBP forced-labour orders (WRO & Findings)","status":"not_found","attemptedAt":"2026-09-15T13:00:10.499Z","listDatedAt":null,"listDateBasis":null},{"name":"US UFLPA Entity List","status":"not_found","attemptedAt":"2026-09-15T11:00:27.634Z","listDatedAt":null,"listDateBasis":null},{"name":"World Bank Listing of Ineligible Firms and Individuals","status":"not_found","attemptedAt":"2026-09-17T19:45:35.770Z","listDatedAt":null,"listDateBasis":null}],"dimension":"debarment"}],"jurisdictions":[{"reasons":["registered here","holds a register number issued here"],"countryId":"FI","registers":["Finland PRH YTJ Register"],"ownershipGap":"No register here states who owns this jurisdiction's companies, so an ownership chain reaching one stops.","ownershipRegisters":[]}]},"ownership":null},"limits":["No read on or before 25 October 2026 is recorded for one source behind this file (Finland PRH YTJ Register), so the version of what was read from it cannot be given.","Whether each listing was in force is rebuilt from what was recorded here: when it was first read, when a source stopped or resumed carrying it, and when its published term ended. A listing in force at an authority before this system first read it is shown from that first read.","No ownership verdict is kept for this company. Verdicts are kept for companies registered where shareholders are read here: Estonia, Latvia and Poland."]}