{"id":"7a17ac51-eed6-4735-afb7-7e03a397bf45","entityType":"company","canonicalName":"Proton Capital Markets Limited","primaryCountryId":"NL","website":null,"status":null,"industryCode":null,"industryLabel":null,"legalFormSuffix":null,"legalFormElf":null,"legalFormLabel":null,"addressLine":null,"addressCity":null,"addressPostalCode":null,"employees":null,"employeesAsOf":null,"vesselType":null,"buildYear":null,"createdAt":"2026-09-12T19:08:04.701Z","updatedAt":"2026-09-12T19:08:04.701Z","aliases":[{"id":"b7d72299-381b-4916-a14a-eff5d7dfe6b5","entityId":"7a17ac51-eed6-4735-afb7-7e03a397bf45","name":"Proton Capital Markets Limited","sourceId":"2a93add4-d591-4a24-a7f9-81e5124d2a2d","createdAt":"2026-09-12T19:08:04.713Z","source":{"name":"ESMA Sanctions Register"}}],"identifiers":[{"id":"25cead4c-5156-4d01-9f29-ba36ecd1297a","entityId":"7a17ac51-eed6-4735-afb7-7e03a397bf45","type":"lei","value":"254900RSZ51F41X1XT35","countryId":"","registerCode":null,"sourceId":"2a93add4-d591-4a24-a7f9-81e5124d2a2d","createdAt":"2026-09-12T19:08:04.718Z","source":{"name":"ESMA Sanctions Register"}}],"sanctions":[{"id":"7fc2e58b-37e0-45c8-ad6e-fd84388acabe","entityId":"7a17ac51-eed6-4735-afb7-7e03a397bf45","regime":"Netherlands Authority for the Financial Markets (AFM)","program":"Debarment","sourceId":"2a93add4-d591-4a24-a7f9-81e5124d2a2d","createdAt":"2026-09-12T19:08:04.731Z","lastSeenAt":"2026-09-12T19:11:03.166Z","delistedAt":"2026-09-12T19:14:37.287Z","designatedAt":"2022-04-26T00:00:00.000Z","legalBasis":null,"reason":"AFM legt last onder dwangsom op aan Proton Capital Markets Limited De Autoriteit Financiële Markten (AFM) heeft op 26 april 2022 een last onder dwangsom opgelegd aan Proton Capital Markets Limited (Proton). De maatregel is opgelegd omdat Proton beleggingsdiensten verleent in Nederland zonder dat zij beschikt over de daartoe benodigde vergunning. Dat is een overtreding van de Wet op het financieel toezicht (Wft). Overtreding vergunningplicht beleggingsdiensten Nederlandse consumenten houden een beleggingsrekening aan bij Proton, waarop Proton voor rekening van deze consumenten zonder hun tussenkomst transacties uitvoert of laat uitvoeren in financiële instrumenten. Klanten benaderen Proton niet op eigen initiatief. Proton verleent daarmee beleggingsdiensten aan in Nederland gevestigde klanten. Hiervoor is een vergunning in Nederland vereist, namelijk voor het beheren van individuele vermogens. Activiteiten niet tijdig gestaakt Proton heeft het illegaal verlenen van beleggingsdiensten in Nederland niet binnen de gestelde termijn gestaakt. Sinds 5 mei 2022 is Proton daarom verplicht de dwangsom te betalen. Iedere dag dat Proton niet aan de opgelegde last heeft voldaan, is de dwangsom aan Proton opgelopen met € 5.000. Per 14 mei 2022 is de dwangsom opgelopen tot het maximum van € 50.000. Proton heeft tot op heden niet aan de last voldaan. https://www.afm.nl/nl -nl/sector/actueel/2022/juni/lod-proton\n\n[original (Dutch)]\n\nAFM imposes order for incremental penalty payments on Proton Capital Markets Limited On 26 April 2022, the Netherlands Authority for the Financial Markets (AFM) imposed an order for incremental penalty payments on Proton Capital Markets Limited (Proton). The measure is imposed because Proton provides investment services in the Netherlands without having the required license. This is a violation of the Financial Supervision Act (Wft). Violation of the license obligation for investment services Dutch consumers hold an investment account with Proton, on which Proton executes transactions or has transactions executed in financial instruments on behalf of these consumers without any intervention on their part. Customers do not approach Proton on their own initiative. Proton thus provides investment services to clients in the Netherlands. This requires a license in the Netherlands, namely to provide portfolio management services. Activities not ceased in time Proton did not cease the illegal provision of investment services in the Netherlands within the prescribed period. Proton has therefore been obliged to pay the penalty payment since 5 May 2022. Every day that Proton has not complied with the order imposed, the penalty payment to Proton has increased by € 5,000. As of 14 May 2022, the penalty payment has increased to a maximum of € 50,000. Proton has not complied with the order to date.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn11866","validTo":null,"listingId":"11866","source":{"name":"ESMA Sanctions Register","entityType":"debarment"},"listKind":"debarment"},{"id":"301c2c65-ad94-4d82-9a4c-f5151005156f","entityId":"7a17ac51-eed6-4735-afb7-7e03a397bf45","regime":"Netherlands Authority for the Financial Markets (AFM)","program":"MiFID","sourceId":"2a93add4-d591-4a24-a7f9-81e5124d2a2d","createdAt":"2026-09-12T19:14:31.702Z","lastSeenAt":"2026-10-23T12:00:15.457Z","delistedAt":null,"designatedAt":"2022-04-26T00:00:00.000Z","legalBasis":null,"reason":"AFM legt last onder dwangsom op aan Proton Capital Markets Limited De Autoriteit Financiële Markten (AFM) heeft op 26 april 2022 een last onder dwangsom opgelegd aan Proton Capital Markets Limited (Proton). De maatregel is opgelegd omdat Proton beleggingsdiensten verleent in Nederland zonder dat zij beschikt over de daartoe benodigde vergunning. Dat is een overtreding van de Wet op het financieel toezicht (Wft). Overtreding vergunningplicht beleggingsdiensten Nederlandse consumenten houden een beleggingsrekening aan bij Proton, waarop Proton voor rekening van deze consumenten zonder hun tussenkomst transacties uitvoert of laat uitvoeren in financiële instrumenten. Klanten benaderen Proton niet op eigen initiatief. Proton verleent daarmee beleggingsdiensten aan in Nederland gevestigde klanten. Hiervoor is een vergunning in Nederland vereist, namelijk voor het beheren van individuele vermogens. Activiteiten niet tijdig gestaakt Proton heeft het illegaal verlenen van beleggingsdiensten in Nederland niet binnen de gestelde termijn gestaakt. Sinds 5 mei 2022 is Proton daarom verplicht de dwangsom te betalen. Iedere dag dat Proton niet aan de opgelegde last heeft voldaan, is de dwangsom aan Proton opgelopen met € 5.000. Per 14 mei 2022 is de dwangsom opgelopen tot het maximum van € 50.000. Proton heeft tot op heden niet aan de last voldaan. https://www.afm.nl/nl -nl/sector/actueel/2022/juni/lod-proton\n\n[original (Dutch)]\n\nAFM imposes order for incremental penalty payments on Proton Capital Markets Limited On 26 April 2022, the Netherlands Authority for the Financial Markets (AFM) imposed an order for incremental penalty payments on Proton Capital Markets Limited (Proton). The measure is imposed because Proton provides investment services in the Netherlands without having the required license. This is a violation of the Financial Supervision Act (Wft). Violation of the license obligation for investment services Dutch consumers hold an investment account with Proton, on which Proton executes transactions or has transactions executed in financial instruments on behalf of these consumers without any intervention on their part. Customers do not approach Proton on their own initiative. Proton thus provides investment services to clients in the Netherlands. This requires a license in the Netherlands, namely to provide portfolio management services. Activities not ceased in time Proton did not cease the illegal provision of investment services in the Netherlands within the prescribed period. Proton has therefore been obliged to pay the penalty payment since 5 May 2022. Every day that Proton has not complied with the order imposed, the penalty payment to Proton has increased by € 5,000. As of 14 May 2022, the penalty payment has increased to a maximum of € 50,000. Proton has not complied with the order to date.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn11866","validTo":null,"listingId":"11866","source":{"name":"ESMA Sanctions Register","entityType":"debarment"},"listKind":"debarment"}],"officers":[],"sourceLinks":[{"externalId":"sn11866","fetchedAt":"2026-10-23T12:00:15.453Z","source":{"name":"ESMA Sanctions Register","url":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","official":false,"entityType":"debarment"}}],"relationshipsAsChild":[],"relationshipsAsParent":[]}