{"kind":"evidence_file","company":{"id":"ea84ab8e-d656-450f-b628-999d496dc808","name":"X-Trade Brokers S.A.","mergedInto":null},"asOf":"2026-10-25T00:48:31.029Z","asOfBasis":"instant","generatedAt":"2026-10-25T13:41:37.927Z","claims":[{"predicate":"identifier","value":"lei:259400AVUPSABLEXNT19","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn7930","observedAt":"2026-09-12T19:06:45.097Z","confirmedAt":"2026-10-23T12:00:11.304Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"identifier","value":"lei:259400AVUPSABLEXNT19","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn14961","observedAt":"2026-09-12T19:09:09.496Z","confirmedAt":"2026-10-23T12:00:20.984Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"name","value":"x-trade brokers","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn7930","observedAt":"2026-09-12T19:06:45.070Z","confirmedAt":"2026-10-23T12:00:11.290Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"name","value":"xtb","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn14961","observedAt":"2026-09-12T19:09:09.479Z","confirmedAt":"2026-10-23T12:00:20.968Z","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":"sn7930","observedAt":"2026-09-12T19:06:45.076Z","confirmedAt":"2026-10-23T12:00:11.293Z","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":"sn14961","observedAt":"2026-09-12T19:09:09.483Z","confirmedAt":"2026-10-23T12:00:20.972Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"7930","regime":"Polish Financial Supervisory Authority (KNF)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:06:45.108Z","designatedAt":"2018-09-18T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Nałożenie na X-Trade Brokers S.A. kary pieniężnej w wysokości 9 900 000 zł w związku z świadczeniem usług maklerskich bez uwzględnienia najlepiej pojętego interesu klienta.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn7930","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"14961","regime":"Polish Financial Supervisory Authority (KNF)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:09:09.504Z","designatedAt":"2026-08-28T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Nałożenie kary pieniężnej w wysokości 20 000 000 zł na XTB S.A. w związku z niedopełnieniem przez XTB wymogów nałożonych na firmy inwestycyjne przepisami prawa.\n\n[original (Polish)]\n\nImposition of a fine of PLN 20,000,000 on XTB S.A. on XTB's failure to meet the requirements imposed on investment firms by law .","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14961","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"7930","regime":"Polish Financial Supervisory Authority (KNF)","program":"MiFID","state":"in_force","stateSince":"2026-09-12T19:14:27.588Z","recordedAt":"2026-09-12T19:14:27.588Z","designatedAt":"2018-09-18T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Nałożenie na X-Trade Brokers S.A. kary pieniężnej w wysokości 9 900 000 zł w związku z świadczeniem usług maklerskich bez uwzględnienia najlepiej pojętego interesu klienta.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn7930","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"14961","regime":"Polish Financial Supervisory Authority (KNF)","program":"MiFID","state":"in_force","stateSince":"2026-09-12T19:14:37.246Z","recordedAt":"2026-09-12T19:14:37.246Z","designatedAt":"2026-08-28T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Nałożenie kary pieniężnej w wysokości 20 000 000 zł na XTB S.A. w związku z niedopełnieniem przez XTB wymogów nałożonych na firmy inwestycyjne przepisami prawa.\n\n[original (Polish)]\n\nImposition of a fine of PLN 20,000,000 on XTB S.A. on XTB's failure to meet the requirements imposed on investment firms by law .","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14961","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":"9a65be03-17aa-419c-ae10-d6e355af9264","takenAt":"2026-09-12T19:14:39.324Z","methodology":"v4","level":"medium","overall":65,"digest":"776f3322ab8ea59c21460ad7fb313fcf9ce23108","coverage":{"dimensions":[{"counts":{"found":1},"sources":[{"name":"ESMA Sanctions Register","status":"found","attemptedAt":"2026-09-12T19:11:10.666Z"}],"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."]}