Disclaimer

ESMA has compiled the information on published sanctions on the basis of notifications made to it by the national competent authorities of the Member States [of the European Economic Area (EEA)]. This compilation has been carried out with utmost   care   and to the best of its ability and ESMA  endeavours to continuously update the information provided.

For further information please refer to the website of the competent national supervisory authorities.

In addition to the above provisions, attention is also drawn to the Legal Notice of the ESMA website.

Nevertheless, ESMA is not able to provide any representation or warranty that the available content is complete, accurate or up to date. The information on published sanctions is based on reports of such sanctions made by the national competent authorities of the relevant Member State to ESMA. The information made available may thus vary substantially according to the applicable provisions of the national law of the relevant Member State.


ESMA draws users' attention to the fact that ESMA is in the process of working with the NCAs in order to complete all operational steps necessary for them to upload on the consolidated registers all national data. National data not available on these consolidated registers is accessible via the competent national supervisory authorities.


The portal offers machine-to-machine services to large scale organisations, exposing a set of web services for retrieval of data maintained in ESMA Registers repositories.

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
Sanctioned entity legal framework
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 10,000 euros on Verónica Arranz Sánchez, for committing a serious infringement defined in Article 291(4) in connection with Article 144, both of the Recast Text of the Spanish Securities Market Act, approved by Spanish Royal Decree 4/2015, of 23 October,, for carrying on an unauthorised activity for financial advisory firms consisting in delegating client acquisition activities to a third party. THIS DECISION HAS BEEN DECLARED FINAL.
viewDetails
Last update
16/10/2020
<< Back to list of sanctions

Export in:

Export
Last update: 16/10/2020, 14:00:10

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

The CNMV has imposed a fine of 10,000 euros on Verónica Arranz Sánchez, for committing a serious infringement defined in Article 291(4) in connection with Article 144, both of the Recast Text of the Spanish Securities Market Act, approved by Spanish Royal Decree 4/2015, of 23 October,, for carrying on an unauthorised activity for financial advisory firms consisting in delegating client acquisition activities to a third party. THIS DECISION HAS BEEN DECLARED FINAL.

No data found