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Sanction details

Sanction

Sanction legal framework
MiFID
Member state
SPAIN
Sanctioning authority
Comisión Nacional del Mercado de Valores (CNMV)
Sanction nature
Administrative sanction
Sanction date
21/09/2020
Sanction expiration date
21/09/2025
Sanctioned entity name
LIVEMARKETS EAF, S.A.
Sanctioned entity legal framework
MiFID (IF)
Sanctioned entity LEI
Free Text 1 (Spanish)
http://10.10.1.33/Portal/Consultas/RegistroSanciones/IniRegSanciones.aspx
viewDetails
Free Text 2 (English)
The CNMV has imposed a fine of 100,000 euros on Finanze Fénix Planificadores Financieros EAFI, S.A. (Livemarkets EAFI, S.A.) for committing a very serious infringement defined in Article 283(3) in connection with Articles 185 and 193, all of them of the Recast Text of the Spanish Securities Market Act, approved by Spanish Royal Decree 4/2015, of 23 October, as a result of the absence of a clear organisational structure with well defined, transparent and consistent lines of responsibility and defects in the internal and control procedures. THIS DECISION HAS BEEN DECLARED FINAL.
viewDetails
Last update
16/10/2020
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Last update: 12/06/2021, 14:00:37

http://10.10.1.33/Portal/Consultas/RegistroSanciones/IniRegSanciones.aspx

The CNMV has imposed a fine of 100,000 euros on Finanze Fénix Planificadores Financieros EAFI, S.A. (Livemarkets EAFI, S.A.) for committing a very serious infringement defined in Article 283(3) in connection with Articles 185 and 193, all of them of the Recast Text of the Spanish Securities Market Act, approved by Spanish Royal Decree 4/2015, of 23 October, as a result of the absence of a clear organisational structure with well defined, transparent and consistent lines of responsibility and defects in the internal and control procedures. THIS DECISION HAS BEEN DECLARED FINAL.

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