{"kind":"evidence_file","company":{"id":"9a6d6cd8-2f88-4fad-808a-5ef170c85bfd","name":"ACTIVOTRADE VALORES, SOCIEDAD DE VALORES, SOCIEDAD ANÓNIMA","mergedInto":null},"asOf":"2026-10-25T00:48:14.771Z","asOfBasis":"instant","generatedAt":"2026-10-25T18:32:43.170Z","claims":[{"predicate":"name","value":"activotrade valores sociedad de valores","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn12180","observedAt":"2026-09-12T19:05:24.524Z","confirmedAt":"2026-10-23T12:00:07.206Z","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":"sn12180","observedAt":"2026-09-12T19:05:24.531Z","confirmedAt":"2026-10-23T12:00:07.209Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"12180","regime":"Comisión Nacional del Mercado de Valores (CNMV)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:05:24.554Z","designatedAt":"2023-07-17T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"https://www.cnmv.es/portal/Consultas/RegistroSanciones/IniRegSanciones.aspx\n\n[original (Spanish)]\n\nThe CNMV has imposed a fine of €50,000 on ACTIVOTRADE, AV S.A, for committing a serious infringement defined under Article 296 (5) of the Consolidated Text of the Securities Market Act, approved by Royal Legislative Decree 4/2015, of 23 October, in relation to article 182 thereof, for not having corporate governance systems and procedures that guarantee its effective and prudent management and, specifically, for the board of directors not establishing an adequate organizational structure, guaranteeing the integrity of relevant information, or carrying out an effective supervision of the senior management. THIS DECISION HAS BEEN DECLARED FINAL.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12180","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"12180","regime":"Comisión Nacional del Mercado de Valores (CNMV)","program":"MiFID","state":"in_force","stateSince":"2026-09-12T19:14:23.514Z","recordedAt":"2026-09-12T19:14:23.514Z","designatedAt":"2023-07-17T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"https://www.cnmv.es/portal/Consultas/RegistroSanciones/IniRegSanciones.aspx\n\n[original (Spanish)]\n\nThe CNMV has imposed a fine of €50,000 on ACTIVOTRADE, AV S.A, for committing a serious infringement defined under Article 296 (5) of the Consolidated Text of the Securities Market Act, approved by Royal Legislative Decree 4/2015, of 23 October, in relation to article 182 thereof, for not having corporate governance systems and procedures that guarantee its effective and prudent management and, specifically, for the board of directors not establishing an adequate organizational structure, guaranteeing the integrity of relevant information, or carrying out an effective supervision of the senior management. THIS DECISION HAS BEEN DECLARED FINAL.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12180","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":"d9ad3c75-120d-4195-bc83-cd95fef7feb9","takenAt":"2026-09-12T19:15:07.802Z","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."]}