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4 | This material was prepared by Žaneta Lacová (Matej Bel University) for the Ethics & Finance course within the project Localizing Economic Education for V4 Countries and Beyond. The project was co-financed by the governments of Czechia, Hungary, Poland and Slovakia through Visegrad Grants from the International Visegrad Fund. The mission of the fund is to advance ideas for sustainable regional cooperation in Central Europe. See https://visegrad.webflow.io/ for more information. | |||||||||||||||||||||||
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9 | Enforcement of Financial Regulations - Sanctions in SLOVAKIA | Data sources | ||||||||||||||||||||||
10 | Data sources (annual reports, dedicated sections on the website, information shared by enforcers) | Annual Reports of NBS - Report on the activities of the Financial Market Supervision Unit | ||||||||||||||||||||||
11 | Type of sanctions: administrative or penal | administrative | ||||||||||||||||||||||
12 | Verdict characteristics: fines, warning, blame, ban from activity, … | fines, warnings | ||||||||||||||||||||||
13 | Publication of sanctions on the website (Y/N) | no details | ||||||||||||||||||||||
14 | Anonymization of sanctioned legal or natural persons (systematic, occasional, conditions) | yes | ||||||||||||||||||||||
15 | Comments | |||||||||||||||||||||||
16 | Administrative fines: | |||||||||||||||||||||||
17 | Number of sanctions (total 2023, as nb) | 8 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
18 | Number of sanctions (total 2022, as nb) | 14 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
19 | Number of sanctions (total 2021, as nb) | 32 | soc-udf_2021_web.pdf | |||||||||||||||||||||
20 | Number of sanctions (total 2020, as nb) | 20 | soc udf 2020_v4_web.pdf | |||||||||||||||||||||
21 | Number of sanctions (total 2019, as nb) | 26 | sc-udf_2019_web.pdf | |||||||||||||||||||||
22 | Number of sanctions (total 2018, as nb) | 18 | Microsoft Word - SC-UDF_2018_v5_web | |||||||||||||||||||||
23 | Number of sanctions (total 2017, as nb) | 46 | sc-udf_2017_web.pdf | |||||||||||||||||||||
24 | Number of sanctions (total 2016, as nb) | 75 | sc-udf_2016_web.pdf | |||||||||||||||||||||
25 | Number of sanctions (total 2015, as nb) | 96 | https://nbs.sk/_img/documents/_dohlad/makropolitika/sc-udf_2015_web.pdf | |||||||||||||||||||||
26 | Number of sanctions (total 2014, as nb) | 180 | https://nbs.sk/_img/documents/_dohlad/makropolitika/sc-udf_2014_web_2.pdf | |||||||||||||||||||||
27 | Average fine (as EUR, 2023) | 51416.67 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
28 | Average fine (as EUR, 2022) | 11791.67 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
29 | Average fine (as EUR, 2021) | 21017.31 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
30 | Average fine (as EUR, 2020) | 38333.33 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
31 | Average fine (as EUR, 2019) | 12785.71 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
32 | Average fine (as EUR, 2018) | 16157.58 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
33 | Average fine (as EUR, 2017) | 2796.43 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
34 | Average fine (as EUR, 2016) | 3893.21 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
35 | Average fine (as EUR, 2015) | 2227.50 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
36 | Average fine (as EUR, 2014) | 878.26 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
37 | Cumulated fines (2023, as EUR) | 308500 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
38 | Cumulated fines (2022, as EUR) | 141500 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
39 | Cumulated fines (2021, as EUR) | 546450 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
40 | Cumulated fines (2020, as EUR) | 575000 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
41 | Cumulated fines (2019, as EUR) | 447500 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
42 | Cumulated fines (2018, as EUR) | 533200 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
43 | Cumulated fines (2017, as EUR) | 117450 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
44 | Cumulated fines (2016, as EUR) | 206340 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
45 | Cumulated fines (2015, as EUR) | 178200 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
46 | Cumulated fines (2014, as EUR) | 101000 | https://nbs.sk/dohlad-nad-financnym-trhom/vyroky-pravoplatnych-rozhodnuti/?table_rulings_params=%7B%22offset%22%3A0%2C%22filter%22%3A%7B%22lang%22%3A%22sk%22%2C%22type%22%3A%22sanctions%22%7D%7D | |||||||||||||||||||||
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