{"kind":"evidence_file","company":{"id":"c6287034-44bf-4b94-b9c1-829358744b0b","name":"RIVA Y GARCIA GESTION, S.G.I.I.C., S.A.","mergedInto":null},"asOf":"2026-10-25T00:50:39.246Z","asOfBasis":"instant","generatedAt":"2026-10-27T08:40:15.121Z","claims":[{"predicate":"name","value":"riva y garcia gestion sgiic","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn13673","observedAt":"2026-09-12T19:06:39.887Z","confirmedAt":"2026-10-23T12:00:10.817Z","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":"sn13673","observedAt":"2026-09-12T19:06:39.892Z","confirmedAt":"2026-10-23T12:00:10.820Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"13673","regime":"Comisión Nacional del Mercado de Valores (CNMV)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:06:39.912Z","designatedAt":"2024-10-18T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"La CNMV ha impuesto una multa de 140.000 euros a RIVA Y GARCÍA GESTIÓN, SGIIC, S.A., por la comisión de una infracción muy grave tipificada en el artículo 80.p) de la Ley 35/2003, de 4 de noviembre, de Instituciones de Inversión Colectiva, por el incumplimiento de la obligación establecida en el artículo 43.1.e) de la misma norma, en relación con los artículos 100 y 102 del Real Decreto 1082/2012, de 13 de julio, por el que se aprueba el Reglamento de desarrollo de la Ley 35/2003, de 4 de noviembre, de instituciones de inversión colectiva, por el mantenimiento sostenido durante un período superior a seis meses de unos recursos propios inferiores a los exigidos por la normativa, sin invertir los mismos en activos líquidos o fácilmente convertibles en efectivo.\n\n[original (Spanish)]\n\nThe CNMV has imposed a fine of 140,000 euros on RIVA Y GARCÍA GESTIÓN, SGIIC, S.A., for committing a very serious infringement classified in Article 80.p) of Spanish Law 35/2003, of 4 November, on Collective Investment Institutions, for non-compliance with the obligation established in Article 43.1.e) of the same law, in relation to Articles 100 and 102 of Spanish Royal Decree 1082/2012, of 13 July, approving the Regulation for the development of Spanish Law 35/2003, of 4 November, on collective investment institutions, for maintaining for a period of more than six months own resources lower than those required by the regulations, without investing them in liquid assets or assets that are easily convertible into cash. THIS DECISION HAS BEEN DECLARED FINAL","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn13673","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"13673","regime":"Comisión Nacional del Mercado de Valores (CNMV)","program":"UCITS","state":"in_force","stateSince":"2026-09-12T19:14:27.107Z","recordedAt":"2026-09-12T19:14:27.107Z","designatedAt":"2024-10-18T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"La CNMV ha impuesto una multa de 140.000 euros a RIVA Y GARCÍA GESTIÓN, SGIIC, S.A., por la comisión de una infracción muy grave tipificada en el artículo 80.p) de la Ley 35/2003, de 4 de noviembre, de Instituciones de Inversión Colectiva, por el incumplimiento de la obligación establecida en el artículo 43.1.e) de la misma norma, en relación con los artículos 100 y 102 del Real Decreto 1082/2012, de 13 de julio, por el que se aprueba el Reglamento de desarrollo de la Ley 35/2003, de 4 de noviembre, de instituciones de inversión colectiva, por el mantenimiento sostenido durante un período superior a seis meses de unos recursos propios inferiores a los exigidos por la normativa, sin invertir los mismos en activos líquidos o fácilmente convertibles en efectivo.\n\n[original (Spanish)]\n\nThe CNMV has imposed a fine of 140,000 euros on RIVA Y GARCÍA GESTIÓN, SGIIC, S.A., for committing a very serious infringement classified in Article 80.p) of Spanish Law 35/2003, of 4 November, on Collective Investment Institutions, for non-compliance with the obligation established in Article 43.1.e) of the same law, in relation to Articles 100 and 102 of Spanish Royal Decree 1082/2012, of 13 July, approving the Regulation for the development of Spanish Law 35/2003, of 4 November, on collective investment institutions, for maintaining for a period of more than six months own resources lower than those required by the regulations, without investing them in liquid assets or assets that are easily convertible into cash. THIS DECISION HAS BEEN DECLARED FINAL","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn13673","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":"f3fbb74f-a6b9-4945-8eca-ce4de8f3739d","takenAt":"2026-09-12T19:15:09.602Z","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."]}