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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
Sanctioned entity legal framework
Sanctioned entity LEI
Free Text 1 (Spanish)
http://10.10.1.33/Portal/Consultas/RegistroSanciones/IniRegSanciones.aspx
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Free Text 2 (English)
The CNMV has imposed a fine of 40,000 euros on Daniel Puerta Arranz, for committing a serious infringement defined in Article 295(2) of the Recast Text of the Spanish Securities Market Act, approved by Spanish Royal Decree 4/2015, of 23 October, as a result of charging fees to clients higher than those regulated in the prospectus. THIS DECISION HAS BEEN DECLARED FINAL.
viewDetails
Last update
16/10/2020
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Last update: 16/10/2020, 14:00:09

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

The CNMV has imposed a fine of 40,000 euros on Daniel Puerta Arranz, for committing a serious infringement defined in Article 295(2) of the Recast Text of the Spanish Securities Market Act, approved by Spanish Royal Decree 4/2015, of 23 October, as a result of charging fees to clients higher than those regulated in the prospectus. THIS DECISION HAS BEEN DECLARED FINAL.

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