{"kind":"evidence_file","company":{"id":"8cecdc2a-22ab-4c46-bc25-719db2965f5a","name":"SOLVENTIS, A.V., S.A.","mergedInto":null},"asOf":"2026-10-24T19:44:29.315Z","asOfBasis":"instant","generatedAt":"2026-10-24T21:13:41.766Z","claims":[{"predicate":"name","value":"solventis av","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn12891","observedAt":"2026-09-12T19:06:15.799Z","confirmedAt":"2026-10-23T12:00:08.930Z","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":"sn12891","observedAt":"2026-09-12T19:06:15.805Z","confirmedAt":"2026-10-23T12:00:08.933Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"12891","regime":"Comisión Nacional del Mercado de Valores (CNMV)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:06:15.822Z","designatedAt":"2024-05-21T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Imponer a SOLVENTIS, S.V., S.A. (antes SOLVENTIS, A.V., S.A.) una multa por importe de 30.000 euros por la comisión de una infracción muy grave del artículo 284.5 de la Ley del Mercado de Valores, texto refundido aprobado por Real Decreto Legislativo 4/2015, de 23 de octubre, por el incumplimiento de lo dispuesto en el artículo 220 quinquies del mismo texto legal y su normativa de desarrollo, en relación con las obligaciones de información a los clientes sobre la percepción de incentivos procedentes de la comercialización de IIC del grupo y del servicio de colocación de emisiones, tanto antes de la prestación del servicio como con posterioridad al mismo.\n\n[original (Spanish)]\n\nThe CNMV has imposed on SOLVENTIS, S.V., S.A. (formerly SOLVENTIS, A.V., S.A.) a fine of €30,000 for committing a very serious infringement of Article 284(5) of the Spanish Securities Markets Act, its revised text approved by Royal Legislative Decree 4/2015, of October 23, for non-compliance with the provisions of Article 220d of the same legal text and its implementing regulations, in relation to the obligations to inform clients about receiving incentives from marketing CISs of the group and the placement service, both before and after providing the service. THIS DECISION HAS BEEN DECLARED FINAL.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12891","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"12891","regime":"Comisión Nacional del Mercado de Valores (CNMV)","program":"MiFID","state":"in_force","stateSince":"2026-09-12T19:14:25.158Z","recordedAt":"2026-09-12T19:14:25.158Z","designatedAt":"2024-05-21T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Imponer a SOLVENTIS, S.V., S.A. (antes SOLVENTIS, A.V., S.A.) una multa por importe de 30.000 euros por la comisión de una infracción muy grave del artículo 284.5 de la Ley del Mercado de Valores, texto refundido aprobado por Real Decreto Legislativo 4/2015, de 23 de octubre, por el incumplimiento de lo dispuesto en el artículo 220 quinquies del mismo texto legal y su normativa de desarrollo, en relación con las obligaciones de información a los clientes sobre la percepción de incentivos procedentes de la comercialización de IIC del grupo y del servicio de colocación de emisiones, tanto antes de la prestación del servicio como con posterioridad al mismo.\n\n[original (Spanish)]\n\nThe CNMV has imposed on SOLVENTIS, S.V., S.A. (formerly SOLVENTIS, A.V., S.A.) a fine of €30,000 for committing a very serious infringement of Article 284(5) of the Spanish Securities Markets Act, its revised text approved by Royal Legislative Decree 4/2015, of October 23, for non-compliance with the provisions of Article 220d of the same legal text and its implementing regulations, in relation to the obligations to inform clients about receiving incentives from marketing CISs of the group and the placement service, both before and after providing the service. THIS DECISION HAS BEEN DECLARED FINAL.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12891","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":"48063e11-32f5-4ec4-84e4-93c175bba68d","takenAt":"2026-09-12T19:15:07.164Z","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."]}