{"kind":"evidence_file","company":{"id":"2448fc3e-9559-4dba-b456-621f8ff781c4","name":"De Leeuwen & Partners B.V.","mergedInto":null},"asOf":"2026-10-25T02:38:55.449Z","asOfBasis":"instant","generatedAt":"2026-10-25T04:45:17.616Z","claims":[{"predicate":"name","value":"de leeuwen & partners","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn11865","observedAt":"2026-09-12T19:08:04.498Z","confirmedAt":"2026-10-23T12:00:15.281Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"primary_country","value":"NL","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn11865","observedAt":"2026-09-12T19:08:04.502Z","confirmedAt":"2026-10-23T12:00:15.285Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"11865","regime":"Netherlands Authority for the Financial Markets (AFM)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:08:04.513Z","designatedAt":"2022-04-26T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"De Autoriteit Financiële Markten (AFM) heeft op 26 april 2022 een last onder dwangsom opgelegd aan De Leeuwen & Partners B.V. (DL&P). De maatregel is opgelegd omdat DL&P medepleger is van overtreding van de Wet op het financieel toezicht door een illegale buitenlandse broker. Deze illegale broker verleent beleggingsdiensten in Nederland zonder dat zij beschikt over de daartoe benodigde vergunning. Medeplegen aan overtreding vergunningplicht beleggingsdiensten DL&P benadert ongevraagd telefonisch Nederlandse consumenten met het aanbod om gebruik te maken van een handelsalgoritme dat automatisch voor rekening van klanten handelt in valutaderivaten. Voor deze klanten wordt een rekening geopend bij een illegale broker, waarop deze illegale broker voor rekening van deze klanten zonder hun tussenkomst transacties uitvoert of laat uitvoeren in financiële instrumenten. Door de samenwerking met DL&P verleent deze illegale broker beleggingsdiensten aan in Nederland gevestigde klanten. Hiervoor is een vergunning in Nederland vereist, namelijk voor het beheren van individuele vermogens. DL&P levert een substantiële bijdrage aan de overtreding door de illegale broker en is daarmee medepleger. Activiteiten niet tijdig gestaakt DL&P heeft het medeplegen aan het illegaal verlenen van beleggingsdiensten in Nederland door de illegale broker niet binnen de gestelde termijn gestaakt. Sinds 5 mei 2022 is DL&P daarom verplicht de dwangsom te betalen. Iedere dag dat DL&P niet aan de opgelegde last heeft voldaan, is de dwangsom aan DL&P met € 5.000 opgelopen. Per 14 mei 2022 is de dwangsom opgelopen tot het maximum van € 50.000. DL&P heeft tot op heden niet aan de last voldaan. https://www.afm.nl/nl -nl/sector/actueel/2022/juli/lod-dlp\n\n[original (Dutch)]\n\nAFM imposes order for incremental penalty payments on De Leeuwen & Partners B.V. On 26 April 2022, the Netherlands Authority for the Financial Markets (AFM) imposed an order for incremental penalty payments on De Leeuwen & Partners B.V. (DL&P). The measure is imposed because DL&P is an accomplice to a violation of the Financial Supervision Act by an illegal, foreign broker. This illegal broker provides investment services in the Netherlands without having the required license. Accomplice to a violation of the license obligation for investment services DL&P approaches Dutch consumers, without being asked, with the offer to make use of a trading algorithm that trades automatically for the account of clients in foreign exchange derivatives. For these clients, an account is opened at an illegal broker, on which this illegal broker executes transactions or has transactions executed in financial instruments on behalf of these consumers without any intervention on their part. Due to the cooperation with DL&P, this illegal broker provides investment services to clients who reside in the Netherlands. This requires a license in the Netherlands, namely to provide portfolio management services. DL&P makes a substantial contribution to the violation by the illegal broker and therefore qualifies as an accomplice. Activities not ceased in time DL&P did not cease being an accomplice to the the illegal provision of investment services in the Netherlands by the illegal broker within the prescribed period. DL&P has therefore been obliged to pay the penalty payment since 5 May 2022. Every day that DL&P has not complied with the order imposed, the penalty payment to DL&P has increased by € 5,000. As of 14 May 2022, the penalty payment has increased to a maximum of € 50,000. DL&P has not complied with the order to date.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn11865","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"11865","regime":"Netherlands Authority for the Financial Markets (AFM)","program":"MiFID","state":"in_force","stateSince":"2026-09-12T19:14:31.538Z","recordedAt":"2026-09-12T19:14:31.538Z","designatedAt":"2022-04-26T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"De Autoriteit Financiële Markten (AFM) heeft op 26 april 2022 een last onder dwangsom opgelegd aan De Leeuwen & Partners B.V. (DL&P). De maatregel is opgelegd omdat DL&P medepleger is van overtreding van de Wet op het financieel toezicht door een illegale buitenlandse broker. Deze illegale broker verleent beleggingsdiensten in Nederland zonder dat zij beschikt over de daartoe benodigde vergunning. Medeplegen aan overtreding vergunningplicht beleggingsdiensten DL&P benadert ongevraagd telefonisch Nederlandse consumenten met het aanbod om gebruik te maken van een handelsalgoritme dat automatisch voor rekening van klanten handelt in valutaderivaten. Voor deze klanten wordt een rekening geopend bij een illegale broker, waarop deze illegale broker voor rekening van deze klanten zonder hun tussenkomst transacties uitvoert of laat uitvoeren in financiële instrumenten. Door de samenwerking met DL&P verleent deze illegale broker beleggingsdiensten aan in Nederland gevestigde klanten. Hiervoor is een vergunning in Nederland vereist, namelijk voor het beheren van individuele vermogens. DL&P levert een substantiële bijdrage aan de overtreding door de illegale broker en is daarmee medepleger. Activiteiten niet tijdig gestaakt DL&P heeft het medeplegen aan het illegaal verlenen van beleggingsdiensten in Nederland door de illegale broker niet binnen de gestelde termijn gestaakt. Sinds 5 mei 2022 is DL&P daarom verplicht de dwangsom te betalen. Iedere dag dat DL&P niet aan de opgelegde last heeft voldaan, is de dwangsom aan DL&P met € 5.000 opgelopen. Per 14 mei 2022 is de dwangsom opgelopen tot het maximum van € 50.000. DL&P heeft tot op heden niet aan de last voldaan. https://www.afm.nl/nl -nl/sector/actueel/2022/juli/lod-dlp\n\n[original (Dutch)]\n\nAFM imposes order for incremental penalty payments on De Leeuwen & Partners B.V. On 26 April 2022, the Netherlands Authority for the Financial Markets (AFM) imposed an order for incremental penalty payments on De Leeuwen & Partners B.V. (DL&P). The measure is imposed because DL&P is an accomplice to a violation of the Financial Supervision Act by an illegal, foreign broker. This illegal broker provides investment services in the Netherlands without having the required license. Accomplice to a violation of the license obligation for investment services DL&P approaches Dutch consumers, without being asked, with the offer to make use of a trading algorithm that trades automatically for the account of clients in foreign exchange derivatives. For these clients, an account is opened at an illegal broker, on which this illegal broker executes transactions or has transactions executed in financial instruments on behalf of these consumers without any intervention on their part. Due to the cooperation with DL&P, this illegal broker provides investment services to clients who reside in the Netherlands. This requires a license in the Netherlands, namely to provide portfolio management services. DL&P makes a substantial contribution to the violation by the illegal broker and therefore qualifies as an accomplice. Activities not ceased in time DL&P did not cease being an accomplice to the the illegal provision of investment services in the Netherlands by the illegal broker within the prescribed period. DL&P has therefore been obliged to pay the penalty payment since 5 May 2022. Every day that DL&P has not complied with the order imposed, the penalty payment to DL&P has increased by € 5,000. As of 14 May 2022, the penalty payment has increased to a maximum of € 50,000. DL&P has not complied with the order to date.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn11865","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"}],"ownership":[],"lists":[{"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."}],"reading":{"assessmentId":"eab564bc-2385-4151-a655-cdc67f305c06","takenAt":"2026-09-12T19:15:02.451Z","methodology":"v4","level":"medium","overall":65,"digest":"d811ec52efdb387c8045c09ee6971319b182d049","coverage":{"dimensions":[{"counts":{"found":1},"sources":[{"name":"ESMA Sanctions Register","status":"found","attemptedAt":"2026-09-12T19:14:40.601Z"}],"dimension":"sanctions"}],"jurisdictions":[{"gap":"No company register for this jurisdiction has been connected to this system, and none has been examined.","reasons":["registered here"],"countryId":"NL","registers":[]}]},"ownership":null},"limits":["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."]}