{"kind":"evidence_file","company":{"id":"78159e79-da5b-4585-ae48-cd3168f7b587","name":"LINK SECURITIES, SOCIEDAD DE VALORES, S.A.","mergedInto":null},"asOf":"2026-10-24T19:48:12.774Z","asOfBasis":"instant","generatedAt":"2026-10-24T20:34:55.214Z","claims":[{"predicate":"name","value":"link securities sociedad de valores","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn12170","observedAt":"2026-09-12T19:05:59.999Z","confirmedAt":"2026-10-23T12:00:08.160Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"primary_country","value":"ES","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn12170","observedAt":"2026-09-12T19:06:00.005Z","confirmedAt":"2026-10-23T12:00:08.164Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"12170","regime":"Comisión Nacional del Mercado de Valores (CNMV)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:06:00.029Z","designatedAt":"2023-07-28T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"https://www.cnmv.es/portal/Consultas/RegistroSanciones/IniRegSanciones.aspx\n\n[original (Spanish)]\n\nCNMV has imposed a fine of 100,000 euros on Link Securities, S.V., S.A., for committing a very serious infringement defined in Article 283 (3) of the Consolidated Text of the Securities Market Act, approved by Royal Legislative Decree 4/2015, of 23 October, in relation to Article 193 of the aforementioned legal text, for having breached Link Securities, S.V., S.A. regulations relating to internal organizational requirements in relation to internal order records; audit, internal control and compliance functions; information provided that serves as a basis for calculating contributions to FOGAIN; supervision of the activities carried out by its agents; measures to guarantee the property rights of clients (transitorship of credit balances and absolute separation between client funds and entity funds); and evaluation of suitability and appropriateness. THIS DECISION HAS BEEN DECLARED FINAL.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12170","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"12170","regime":"Comisión Nacional del Mercado de Valores (CNMV)","program":"MiFID","state":"in_force","stateSince":"2026-09-12T19:14:24.435Z","recordedAt":"2026-09-12T19:14:24.435Z","designatedAt":"2023-07-28T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"https://www.cnmv.es/portal/Consultas/RegistroSanciones/IniRegSanciones.aspx\n\n[original (Spanish)]\n\nCNMV has imposed a fine of 100,000 euros on Link Securities, S.V., S.A., for committing a very serious infringement defined in Article 283 (3) of the Consolidated Text of the Securities Market Act, approved by Royal Legislative Decree 4/2015, of 23 October, in relation to Article 193 of the aforementioned legal text, for having breached Link Securities, S.V., S.A. regulations relating to internal organizational requirements in relation to internal order records; audit, internal control and compliance functions; information provided that serves as a basis for calculating contributions to FOGAIN; supervision of the activities carried out by its agents; measures to guarantee the property rights of clients (transitorship of credit balances and absolute separation between client funds and entity funds); and evaluation of suitability and appropriateness. THIS DECISION HAS BEEN DECLARED FINAL.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12170","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"}],"ownership":[],"lists":[{"source":"ESMA Sanctions Register","readAt":"2026-10-23T12:00:38.517Z","recordsRead":845,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here."}],"reading":{"assessmentId":"474d4b1e-50e8-42f8-ba95-d03a6e674558","takenAt":"2026-09-12T19:15:06.344Z","methodology":"v4","level":"medium","overall":65,"digest":"d34dec7ba80b6872adba13063460ef6a516ec7ec","coverage":{"dimensions":[{"counts":{"found":1},"sources":[{"name":"ESMA Sanctions Register","status":"found","attemptedAt":"2026-09-12T19:14:40.601Z"}],"dimension":"sanctions"}],"jurisdictions":[{"gap":"No company register for this jurisdiction has been connected to this system, and none has been examined.","reasons":["registered here"],"countryId":"ES","registers":[]}]},"ownership":null},"limits":["Whether each listing was in force is rebuilt from what was recorded here: when it was first read, when a source stopped or resumed carrying it, and when its published term ended. A listing in force at an authority before this system first read it is shown from that first read.","No ownership verdict is kept for this company. Verdicts are kept for companies registered where shareholders are read here: Estonia, Latvia and Poland."]}