Sanctions and other administrative measures
| Date of the decision / publication | Activities | Operator | Nature of infringements | |
|---|---|---|---|---|
| 15/01/2025 | Brokerage | Edmond de Rothschild Assurances and Conseils (Europe) S.A. | Non-compliance with the obligations set out in the Law of 12 November 2004 on AML/CFT, as amended |
|
| 14/01/2025 | Agent | Insurance agent | Provision of documents or information which prove to be incomplete, inaccurate or false |
|
| 11/11/2024 | Non-life insurance / Reinsurance | Reinsurance undertakings / Insurance Groups / PSA | Please consult the pdf document |
|
| 02/10/2024 | Brokerage | International Property Group S.A. (anc. United Advisers Group S.A. et Fund Advisers Europe (Luxembourg) S.A.) | Infringement to the Law of 7 December 2015 on the insurance sector, as amended, and non-compliance with the obligations set out in the Law of 12 November 2004 on AML/CFT, as amended. |
|
| 03/07/2024 | Brokerage | Insurance broker | Late submission of documents for annual reporting |
|
| 03/07/2024 | Life insurance | Swiss Life (Luxembourg) | Non-compliance with the obligations set out in the Law of 12 November 2004 on AML/CFT, as amended |
|
| 20/03/2024 | Life insurance | Lombard International Assurance S.A. | Non-compliance with the obligations set out in the Law of 12 November 2004 on AML/CFT, as amended |
|
| 13/11/2023 | Life insurance | Company X | Failure to give prior notice of a change in shareholder structure |
|
| 13/11/2023 | Life insurance | Company X |
Late submission of documents for annual reporting |
|
| 09/11/2023 | Brokerage | Company X | Non-compliance with the obligations set out in the Law of 12 November 2004 on AML/CFT, as amended, and the Law of 19 December 2020 on the implementation of restrictive measures in financial matters, as amended |
|
| 16/05/2023 | Life insurance | The OneLife Company S.A. | Non-compliance with the obligations set out in the Law of 12 November 2004 on AML/CFT, as amended |
|
| 27/02/2023 | Brokerage | Company X | Failure to submit and late submission of documents |
|
| 04/08/2022 | Life insurance | FWU Life Insurance Lux S.A. |
Infringement to the Law of 7 December 2015 on the insurance sector, as amended, and its implementing regulations |
|
| 04/08/2022 | Life insurance | FWU Life Insurance Lux S.A. |
Infringement to the law of 8 December 1994 on the annual accounts |
|
| 25/01/2022 | Reinsurance | BATAVIA RE S.A. | Non-compliance with CAA instructions |
|
| 25/01/2022 | Reinsurance | CLT REINSURANCE S.A. | Non-compliance with CAA instructions |
|
| 21/01/2022 | Life insurance | Company X | Failure to give prior notice of a change in shareholder structure |
|
| 18/01/2022 | Reinsurance | Company X | Infringement to the Law of 7 December 2015 on the insurance sector, as amended, and its implementing regulations |
|
| 16/12/2021 | Reinsurance | Company X | Non-compliance with CAA instructions |
|
| 07/12/2021 | Reinsurance | Company X | Non-compliance with CAA instructions |
|
| 23/11/2021 | Reinsurance | Company X | Non-compliance with CAA instructions |
|
| 28/09/2021 | Brokerage | Company X | Failure to submit and late submission of documents |
|
| 28/09/2021 | Life insurance | INTEGRALE LUXEMBOURG S.A. | Failure to appoint a réviseur d'entreprises agréé (approved statutory auditor) |
|
| 22/09/2021 | Reinsurance | Company X | Provision of documents or information which prove to be incomplete, inaccurate or false |
|
| 22/09/2021 | Reinsurance | Company X | Provision of documents or information which prove to be incomplete, inaccurate or false |
|
| 15/09/2021 | Reinsurance | Company X | Non-compliance to CAA instructions and infringement to the Law of 7 December 2015 on the insurance sector, as amended, and its implementing regulations |
|
| 15/09/2021 | Reinsurance | Company X | Non-compliance to CAA instructions and infringement to the Law of 7 December 2015 on the insurance sector, as amended, and its implementing regulations |
|
| 15/09/2021 | Reinsurance | Company X | Non-compliance with CAA instructions |
|
| 19/08/2021 | Non-life insurance | Company X | Non-compliance with CAA instructions |
|
| 19/08/2021 | Reinsurance | Company X | Non-compliance with CAA instructions |
|
| 01/04/2021 | Reinsurance | Company X | Non-compliance with CAA instructions |
|
| 23/03/2021 | Reinsurance | Company X | Failure to give prior notice of a change in shareholder structure |
|
| 09/02/2021 | Reinsurance | Company X | Failure to give prior notice of a change in shareholder structure and non-compliance with CAA instructions |
|
| 23/12/2020 | Brokerage | Patrimoine & Conseils S.A. | Failure to be up to date with the payment of fees applicable to brokers |
|
| 23/12/2020 | Brokerage | Private Wealth Advisors S.A. | Non-compliance with CAA instructions / refusal to supply accounting documents or other information requested |
|
| 11/05/2018 | Brokerage | Company X | Failure of continuing training in the field of AML/CFT |
|
| 16/04/2018 | Brokerage | Company X | Failure of continuing training in the field of AML/CFT |
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| 16/04/2018 | Brokerage | Company X | Failure of continuing training in the field of AML/CFT |
|
| 06/04/2018 | Brokerage | Company X | Failure of continuing training in the field of AML/CFT |
|
| 21/03/2018 | Brokerage | SECURITIES AND FINANCIAL SOLUTIONS EUROPE BROKERAGE | Non-respect des conditions d’exercice |
|
| 01/12/2017 | Brokerage | SECURITIES AND FINANCIAL SOLUTIONS EUROPE BROKERAGE | Exercice simultané d’activités incompatibles et non-respect des injonctions du CAA |
|
| 17/11/2011 | Life insurance | Excell Life International S.A. | Failure to fulfil the operating conditions |
|
| 15/02/2011 | Life insurance | Excell Life International S.A. | Failure to fulfil the operating conditions |
|
| 05/08/2010 | Life insurance | Excell Life International S.A. | Failure to fulfil the operating conditions |
|
