{"id":"d495afd5-5986-4aa1-8af0-9325f37d0e7e","entityType":"company","canonicalName":"GLOBALFINANZAS INVESTMENT GROUP, A.V., S.A.","primaryCountryId":"ES","website":null,"status":null,"industryCode":null,"industryLabel":null,"legalFormSuffix":null,"legalFormElf":null,"legalFormLabel":null,"addressLine":null,"addressCity":null,"addressPostalCode":null,"employees":null,"employeesAsOf":null,"vesselType":null,"buildYear":null,"createdAt":"2026-09-12T19:06:09.196Z","updatedAt":"2026-09-12T19:06:09.196Z","aliases":[{"id":"89224891-e388-48c9-8220-48cbbf62eb67","entityId":"d495afd5-5986-4aa1-8af0-9325f37d0e7e","name":"GLOBALFINANZAS INVESTMENT GROUP, A.V., S.A.","sourceId":"2a93add4-d591-4a24-a7f9-81e5124d2a2d","createdAt":"2026-09-12T19:06:09.215Z","source":{"name":"ESMA Sanctions Register"}}],"identifiers":[],"sanctions":[{"id":"0abd3bef-ae8e-4a43-84cf-69a319617d39","entityId":"d495afd5-5986-4aa1-8af0-9325f37d0e7e","regime":"Comisión Nacional del Mercado de Valores (CNMV)","program":"Debarment","sourceId":"2a93add4-d591-4a24-a7f9-81e5124d2a2d","createdAt":"2026-09-12T19:06:14.587Z","lastSeenAt":"2026-09-12T19:10:58.221Z","delistedAt":"2026-09-12T19:14:37.287Z","designatedAt":"2024-06-13T00:00:00.000Z","legalBasis":null,"reason":"CNMV ha impuesto sanción de multa de 40.000 euros a Globalfinanzas Investment Group, A.V., S.A. por la comisión de una infracción muy grave tipificada en el artículo 283.3 de la Ley del Mercado de Valores, texto refundido aprobado por Real Decreto Legislativo 4/2015, de 23 de octubre, por el incumplimiento de los requisitos de organización interna previstos en el artículo 193 del mismo texto legal, fundamentalmente en relación con las funciones de auditoría, control de riesgos y cumplimiento, y con el registro interno de órdenes.\n\n[original (Spanish)]\n\nThe CNMV has imposed a fine of 40,000 (forty thousand) euros on Globalfinanzas Investment Group, A.V., S.A. for committing a very serious infringement defined in Article 283(3) of the Recast Text of the Spanish Securities Market Act, approved by Spanish Royal Legislative Decree 4/2015, of 23 October, for the non-compliance with the internal organisation requirements provided in Article 193 of the same legal text, mainly in relation to the auditing, risk control and compliance functions, and with the internal register of orders. THIS DECISION HAS BEEN DECLARED FINAL.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12950","validTo":null,"listingId":"12950","source":{"name":"ESMA Sanctions Register","entityType":"debarment"},"listKind":"debarment"},{"id":"834bbd11-88a9-494c-a4cb-5acfe3f37927","entityId":"d495afd5-5986-4aa1-8af0-9325f37d0e7e","regime":"Comisión Nacional del Mercado de Valores (CNMV)","program":"Debarment","sourceId":"2a93add4-d591-4a24-a7f9-81e5124d2a2d","createdAt":"2026-09-12T19:06:09.330Z","lastSeenAt":"2026-09-12T19:10:58.153Z","delistedAt":"2026-09-12T19:14:37.287Z","designatedAt":"2024-06-13T00:00:00.000Z","legalBasis":null,"reason":"CNMV ha impuesto multa por importe de 20.000 euros a Globalfinanzas Investment Group, A.V., SA por la comisión de una infracción muy grave tipificada en el 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 del régimen de incentivos regulado en los artículos 220 quater y 220 quinquies del mismo texto legal, al haber cobrado y retenido incentivos derivados de la operativa de clientes gestionados, procedentes de dos intermediarios financieros y, adicionalmente, no haber informado a dichos clientes gestionados de los citados incentivos, ni tampoco haber informado a los clientes de intermediación de los incentivos percibidos por un tercer intermediario financiero por la comercialización a estos últimos de una IIC.\n\n[original (Spanish)]\n\nThe CNMV has imposed a fine of 20,000 (twenty thousand) euros on Globalfinanzas Investment Group, A.V., S.A. for committing a very serious infringement defined in Article 284(5) of the Recast Text of the Spanish Securities Market Act, approved by Spanish Royal Legislative Decree 4/2015, of 23 October, for non-compliance with the incentive regime regulated in Articles 220 quarter and 220 quinquies of the same legal text, for collecting and withholding incentives derived from the operations of managed clients, from two financial intermediaries and, additionally, not having informed said managed clients of the aforementioned incentives, nor having informed the intermediation customers of the incentives received by a third financial intermediary by the marketing to the latter of a CIS. THIS DECISION HAS BEEN DECLARED FINAL.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12949","validTo":null,"listingId":"12949","source":{"name":"ESMA Sanctions Register","entityType":"debarment"},"listKind":"debarment"},{"id":"39f988cf-7435-4abb-a08d-a5091a57d1a1","entityId":"d495afd5-5986-4aa1-8af0-9325f37d0e7e","regime":"Comisión Nacional del Mercado de Valores (CNMV)","program":"Debarment","sourceId":"2a93add4-d591-4a24-a7f9-81e5124d2a2d","createdAt":"2026-09-12T19:06:09.229Z","lastSeenAt":"2026-09-12T19:10:58.116Z","delistedAt":"2026-09-12T19:14:37.287Z","designatedAt":"2024-06-13T00:00:00.000Z","legalBasis":null,"reason":"CNMV ha impuesto una sanción de restitución de los beneficios obtenidos con la comisión de la infracción por un importe de 44.196 euros a Globalfinanzas Investment Group, A.V., SA por la comisión de una infracción muy grave tipificada en el 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 del régimen de incentivos regulado en los artículos 220 quater y 220 quinquies del mismo texto legal, al haber cobrado y retenido incentivos derivados de la operativa de clientes gestionados, procedentes de dos intermediarios financieros y, adicionalmente, no haber informado a dichos clientes gestionados de los citados incentivos, ni tampoco haber informado a los clientes de intermediación de los incentivos percibidos por un tercer intermediario financiero por la comercialización a estos últimos de una IIC.\n\n[original (Spanish)]\n\nThe CNMV has imposed a sanction to refund of the profits obtained from the commission of the infringement in the amount of 44,196 euros on Globalfinanzas Investment Group, A.V., S.A. for committing a very serious infringement defined in Article 284(5) of the Recast Text of the Spanish Securities Market Act, approved by Spanish Royal Legislative Decree 4/2015, of 23 October, for non-compliance with the incentive regime regulated in Articles 220 quarter and 220 quinquies of the same legal text, for collecting and withholding incentives derived from the operations of managed clients, from two financial intermediaries and, additionally, not having informed said managed clients of the aforementioned incentives, nor having informed the intermediation customers of the incentives received by a third financial intermediary by the marketing to the latter of a CIS. THIS DECISION HAS BEEN DECLARED FINAL.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12948","validTo":null,"listingId":"12948","source":{"name":"ESMA Sanctions Register","entityType":"debarment"},"listKind":"debarment"},{"id":"0e923657-1f13-445c-b8af-093b8d94fdf3","entityId":"d495afd5-5986-4aa1-8af0-9325f37d0e7e","regime":"Comisión Nacional del Mercado de Valores (CNMV)","program":"MiFID","sourceId":"2a93add4-d591-4a24-a7f9-81e5124d2a2d","createdAt":"2026-09-12T19:14:25.206Z","lastSeenAt":"2026-10-23T12:00:08.989Z","delistedAt":null,"designatedAt":"2024-06-13T00:00:00.000Z","legalBasis":null,"reason":"CNMV ha impuesto sanción de multa de 40.000 euros a Globalfinanzas Investment Group, A.V., S.A. por la comisión de una infracción muy grave tipificada en el artículo 283.3 de la Ley del Mercado de Valores, texto refundido aprobado por Real Decreto Legislativo 4/2015, de 23 de octubre, por el incumplimiento de los requisitos de organización interna previstos en el artículo 193 del mismo texto legal, fundamentalmente en relación con las funciones de auditoría, control de riesgos y cumplimiento, y con el registro interno de órdenes.\n\n[original (Spanish)]\n\nThe CNMV has imposed a fine of 40,000 (forty thousand) euros on Globalfinanzas Investment Group, A.V., S.A. for committing a very serious infringement defined in Article 283(3) of the Recast Text of the Spanish Securities Market Act, approved by Spanish Royal Legislative Decree 4/2015, of 23 October, for the non-compliance with the internal organisation requirements provided in Article 193 of the same legal text, mainly in relation to the auditing, risk control and compliance functions, and with the internal register of orders. THIS DECISION HAS BEEN DECLARED FINAL.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12950","validTo":null,"listingId":"12950","source":{"name":"ESMA Sanctions Register","entityType":"debarment"},"listKind":"debarment"},{"id":"18fcdd89-65db-45fd-8b1d-7648ef40833b","entityId":"d495afd5-5986-4aa1-8af0-9325f37d0e7e","regime":"Comisión Nacional del Mercado de Valores (CNMV)","program":"MiFID","sourceId":"2a93add4-d591-4a24-a7f9-81e5124d2a2d","createdAt":"2026-09-12T19:14:25.110Z","lastSeenAt":"2026-10-23T12:00:08.897Z","delistedAt":null,"designatedAt":"2024-06-13T00:00:00.000Z","legalBasis":null,"reason":"CNMV ha impuesto multa por importe de 20.000 euros a Globalfinanzas Investment Group, A.V., SA por la comisión de una infracción muy grave tipificada en el 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 del régimen de incentivos regulado en los artículos 220 quater y 220 quinquies del mismo texto legal, al haber cobrado y retenido incentivos derivados de la operativa de clientes gestionados, procedentes de dos intermediarios financieros y, adicionalmente, no haber informado a dichos clientes gestionados de los citados incentivos, ni tampoco haber informado a los clientes de intermediación de los incentivos percibidos por un tercer intermediario financiero por la comercialización a estos últimos de una IIC.\n\n[original (Spanish)]\n\nThe CNMV has imposed a fine of 20,000 (twenty thousand) euros on Globalfinanzas Investment Group, A.V., S.A. for committing a very serious infringement defined in Article 284(5) of the Recast Text of the Spanish Securities Market Act, approved by Spanish Royal Legislative Decree 4/2015, of 23 October, for non-compliance with the incentive regime regulated in Articles 220 quarter and 220 quinquies of the same legal text, for collecting and withholding incentives derived from the operations of managed clients, from two financial intermediaries and, additionally, not having informed said managed clients of the aforementioned incentives, nor having informed the intermediation customers of the incentives received by a third financial intermediary by the marketing to the latter of a CIS. THIS DECISION HAS BEEN DECLARED FINAL.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12949","validTo":null,"listingId":"12949","source":{"name":"ESMA Sanctions Register","entityType":"debarment"},"listKind":"debarment"},{"id":"68d70c58-051d-4cdb-9aec-51db851f8ee4","entityId":"d495afd5-5986-4aa1-8af0-9325f37d0e7e","regime":"Comisión Nacional del Mercado de Valores (CNMV)","program":"MiFID","sourceId":"2a93add4-d591-4a24-a7f9-81e5124d2a2d","createdAt":"2026-09-12T19:14:25.062Z","lastSeenAt":"2026-10-23T12:00:08.847Z","delistedAt":null,"designatedAt":"2024-06-13T00:00:00.000Z","legalBasis":null,"reason":"CNMV ha impuesto una sanción de restitución de los beneficios obtenidos con la comisión de la infracción por un importe de 44.196 euros a Globalfinanzas Investment Group, A.V., SA por la comisión de una infracción muy grave tipificada en el 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 del régimen de incentivos regulado en los artículos 220 quater y 220 quinquies del mismo texto legal, al haber cobrado y retenido incentivos derivados de la operativa de clientes gestionados, procedentes de dos intermediarios financieros y, adicionalmente, no haber informado a dichos clientes gestionados de los citados incentivos, ni tampoco haber informado a los clientes de intermediación de los incentivos percibidos por un tercer intermediario financiero por la comercialización a estos últimos de una IIC.\n\n[original (Spanish)]\n\nThe CNMV has imposed a sanction to refund of the profits obtained from the commission of the infringement in the amount of 44,196 euros on Globalfinanzas Investment Group, A.V., S.A. for committing a very serious infringement defined in Article 284(5) of the Recast Text of the Spanish Securities Market Act, approved by Spanish Royal Legislative Decree 4/2015, of 23 October, for non-compliance with the incentive regime regulated in Articles 220 quarter and 220 quinquies of the same legal text, for collecting and withholding incentives derived from the operations of managed clients, from two financial intermediaries and, additionally, not having informed said managed clients of the aforementioned incentives, nor having informed the intermediation customers of the incentives received by a third financial intermediary by the marketing to the latter of a CIS. THIS DECISION HAS BEEN DECLARED FINAL.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12948","validTo":null,"listingId":"12948","source":{"name":"ESMA Sanctions Register","entityType":"debarment"},"listKind":"debarment"}],"officers":[],"sourceLinks":[{"externalId":"sn12950","fetchedAt":"2026-10-23T12:00:08.985Z","source":{"name":"ESMA Sanctions Register","url":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","official":false,"entityType":"debarment"}},{"externalId":"sn12949","fetchedAt":"2026-10-23T12:00:08.893Z","source":{"name":"ESMA Sanctions Register","url":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","official":false,"entityType":"debarment"}},{"externalId":"sn12948","fetchedAt":"2026-10-23T12:00:08.843Z","source":{"name":"ESMA Sanctions Register","url":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","official":false,"entityType":"debarment"}}],"relationshipsAsChild":[],"relationshipsAsParent":[]}