{"kind":"evidence_file","company":{"id":"a236f725-709d-422b-bc35-2aed22401a84","name":"NOBLE Securities SA","mergedInto":null},"asOf":"2026-10-25T00:48:12.329Z","asOfBasis":"instant","generatedAt":"2026-10-25T12:21:39.004Z","claims":[{"predicate":"identifier","value":"lei:259400LJC7Y93HGGGK72","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn4284","observedAt":"2026-09-12T19:04:23.634Z","confirmedAt":"2026-10-23T12:00:04.316Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"name","value":"noble securities","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn4284","observedAt":"2026-09-12T19:04:23.615Z","confirmedAt":"2026-10-23T12:00:04.300Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"primary_country","value":"PL","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn4284","observedAt":"2026-09-12T19:04:23.618Z","confirmedAt":"2026-10-23T12:00:04.304Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"4284","regime":"Polish Financial Supervisory Authority (KNF)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:04:23.643Z","designatedAt":"2016-06-21T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Nałożenie na Noble Securities S.A. z siedzibą w Warszawie kary pieniężnej w wysokości 300 000 zł za istotne naruszenie art. 69 ust. 1 w zw. z art. 69 ust. 2 pkt 5 ustawy o obrocie poprzez świadczenie na rzecz klientów usług doradztwa inwestycyjnego bez wymaganego zezwolenia.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn4284","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"4284","regime":"Polish Financial Supervisory Authority (KNF)","program":"MiFID","state":"in_force","stateSince":"2026-09-12T19:14:20.840Z","recordedAt":"2026-09-12T19:14:20.840Z","designatedAt":"2016-06-21T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Nałożenie na Noble Securities S.A. z siedzibą w Warszawie kary pieniężnej w wysokości 300 000 zł za istotne naruszenie art. 69 ust. 1 w zw. z art. 69 ust. 2 pkt 5 ustawy o obrocie poprzez świadczenie na rzecz klientów usług doradztwa inwestycyjnego bez wymaganego zezwolenia.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn4284","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":"b61f76d3-1fbb-4adb-95e1-8d35bfaba9ba","takenAt":"2026-09-12T19:15:08.129Z","methodology":"v4","level":"medium","overall":65,"digest":"5ba5fd2ccfb22cf693115959615a965201935656","coverage":{"dimensions":[{"counts":{"found":1},"sources":[{"name":"ESMA Sanctions Register","status":"found","attemptedAt":"2026-09-12T19:14:40.601Z"}],"dimension":"sanctions"}],"jurisdictions":[{"reasons":["registered here"],"countryId":"PL","registers":["Poland MF VAT White List"]}]},"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."]}