{"id":"f7f9387f-4c43-41c4-813e-d8ef485cb81c","entityType":"company","canonicalName":"CA Indosuez Wealth (Europe), Sucursal en España","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":"2026-09-12T19:08:51.230Z","updatedAt":"2026-09-12T19:08:51.230Z","aliases":[{"id":"29a6a31a-4655-45f4-9d6e-bcc3f65559bc","entityId":"f7f9387f-4c43-41c4-813e-d8ef485cb81c","name":"CA Indosuez Wealth (Europe), Sucursal en España","sourceId":"2a93add4-d591-4a24-a7f9-81e5124d2a2d","createdAt":"2026-09-12T19:08:51.243Z","source":{"name":"ESMA Sanctions Register"}}],"identifiers":[],"sanctions":[{"id":"309973ef-750c-4333-ba4e-a4e29094c394","entityId":"f7f9387f-4c43-41c4-813e-d8ef485cb81c","regime":"Comisión Nacional del Mercado de Valores (CNMV)","program":"Debarment","sourceId":"2a93add4-d591-4a24-a7f9-81e5124d2a2d","createdAt":"2026-09-12T19:08:51.315Z","lastSeenAt":"2026-09-12T19:11:06.508Z","delistedAt":"2026-09-12T19:14:37.287Z","designatedAt":"2025-10-16T00:00:00.000Z","legalBasis":null,"reason":"La CNMV ha impuesto a CA Indosuez Wealth (Europe), Sucursal en España, una sanción de multa por importe de 200.000 euros por la comisión de una infracción continuada muy grave tipificada en el artículo 293.1.a) de la Ley 6/2023, de 17 de marzo, de los Mercados de Valores y de los Servicios de Inversión por el incumplimiento del deber general de conocer a sus clientes recogido en el artículo 203, en relación con los artículos 204 y 205, ambos de la norma citada y con los artículos 54 y 55 del Reglamento Delegado (UE) 2017/565, de la Comisión de 25 de abril de 2016, por el que se completa la Directiva 2014/65/UE del Parlamento Europeo y del Consejo en lo relativo a los requisitos organizativos y las condiciones de funcionamiento de las empresas de servicios de inversión y términos definidos a efectos de dicha Directiva, por no recabar información necesaria sobre los conocimientos y experiencia de sus clientes para evaluar la conveniencia e idoneidad.\n\n[original (Spanish)]\n\nThe CNMV has imposed a fine of 200,000 euros on CA Indosuez Wealth (Europe), Branch in Spain, for the commission of a very serious continuous infringement classified in article 293.1.a) of Spanish Law 6/2023, of 17 March, on Securities Markets and Investment Services, for failure to comply with the general duty to know its clients set out in article 203, in relation to articles 204 and 205, both of the aforementioned law and with articles 54 and 55 of Commission Delegated Regulation (EU) 2017/565 of 25 April 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive, for failing to collect the necessary information on the knowledge and experience of its clients to assess suitability and appropriateness. THIS DECISION HAS BEEN DECLARED FINAL.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14397","validTo":null,"listingId":"14397","source":{"name":"ESMA Sanctions Register","entityType":"debarment"},"listKind":"debarment"},{"id":"1e41c637-fb96-471f-b244-918b6b49d01d","entityId":"f7f9387f-4c43-41c4-813e-d8ef485cb81c","regime":"Comisión Nacional del Mercado de Valores (CNMV)","program":"Debarment","sourceId":"2a93add4-d591-4a24-a7f9-81e5124d2a2d","createdAt":"2026-09-12T19:08:51.252Z","lastSeenAt":"2026-09-12T19:11:06.469Z","delistedAt":"2026-09-12T19:14:37.287Z","designatedAt":"2025-10-16T00:00:00.000Z","legalBasis":null,"reason":"La CNMV ha impuesto a CA Indosuez Wealth (Europe), Sucursal en España, una sanción de multa por importe de 200.000 euros por la comisión de una infracción continuada muy grave tipificada en el artículo 293.1.a) de la Ley 6/2023, de 17 de marzo, de los Mercados de Valores y de los Servicios de Inversión por el incumplimiento de la obligación recogida en el artículo 200.3, en relación con el artículo 216, ambos de la norma citada y con los artículos 46, 50 y 51 del Reglamento Delegado (UE) 2017/565, de la Comisión de 25 de abril de 2016, por el que se completa la Directiva 2014/65/UE del Parlamento Europeo y del Consejo en lo relativo a los requisitos organizativos y las condiciones de funcionamiento de las empresas de servicios de inversión y términos definidos a efectos de dicha Directiva, por el incumplimiento del deber de informar a los clientes ex ante de los costes, gastos e incentivos.\n\n[original (Spanish)]\n\nThe CNMV has imposed a fine of 200,000 euros on CA Indosuez Wealth (Europe), Branch in Spain, for the commission of a very serious continuous infringement classified in article 293.1.a) of Law 6/2023, of March 17, on Securities Markets and Investment Services for failure to comply with the obligation established in article 200 (3), in relation to article 216, both of the aforementioned law and with articles 46, 50 and 51 of Commission Delegated Regulation (EU) 2017/565 of 25 April 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive, for failure to comply with the duty to inform clients before costs, expenses and incentives. THIS DECISION HAS BEEN DECLARED FINAL.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14396","validTo":null,"listingId":"14396","source":{"name":"ESMA Sanctions Register","entityType":"debarment"},"listKind":"debarment"},{"id":"af505da4-ea33-4e54-9722-68569f5ae928","entityId":"f7f9387f-4c43-41c4-813e-d8ef485cb81c","regime":"Comisión Nacional del Mercado de Valores (CNMV)","program":"MiFID","sourceId":"2a93add4-d591-4a24-a7f9-81e5124d2a2d","createdAt":"2026-09-12T19:14:36.123Z","lastSeenAt":"2026-10-23T12:00:19.863Z","delistedAt":null,"designatedAt":"2025-10-16T00:00:00.000Z","legalBasis":null,"reason":"La CNMV ha impuesto a CA Indosuez Wealth (Europe), Sucursal en España, una sanción de multa por importe de 200.000 euros por la comisión de una infracción continuada muy grave tipificada en el artículo 293.1.a) de la Ley 6/2023, de 17 de marzo, de los Mercados de Valores y de los Servicios de Inversión por el incumplimiento del deber general de conocer a sus clientes recogido en el artículo 203, en relación con los artículos 204 y 205, ambos de la norma citada y con los artículos 54 y 55 del Reglamento Delegado (UE) 2017/565, de la Comisión de 25 de abril de 2016, por el que se completa la Directiva 2014/65/UE del Parlamento Europeo y del Consejo en lo relativo a los requisitos organizativos y las condiciones de funcionamiento de las empresas de servicios de inversión y términos definidos a efectos de dicha Directiva, por no recabar información necesaria sobre los conocimientos y experiencia de sus clientes para evaluar la conveniencia e idoneidad.\n\n[original (Spanish)]\n\nThe CNMV has imposed a fine of 200,000 euros on CA Indosuez Wealth (Europe), Branch in Spain, for the commission of a very serious continuous infringement classified in article 293.1.a) of Spanish Law 6/2023, of 17 March, on Securities Markets and Investment Services, for failure to comply with the general duty to know its clients set out in article 203, in relation to articles 204 and 205, both of the aforementioned law and with articles 54 and 55 of Commission Delegated Regulation (EU) 2017/565 of 25 April 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive, for failing to collect the necessary information on the knowledge and experience of its clients to assess suitability and appropriateness. THIS DECISION HAS BEEN DECLARED FINAL.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14397","validTo":null,"listingId":"14397","source":{"name":"ESMA Sanctions Register","entityType":"debarment"},"listKind":"debarment"},{"id":"7c99fe0d-79e4-42f2-9200-eef729247cb4","entityId":"f7f9387f-4c43-41c4-813e-d8ef485cb81c","regime":"Comisión Nacional del Mercado de Valores (CNMV)","program":"MiFID","sourceId":"2a93add4-d591-4a24-a7f9-81e5124d2a2d","createdAt":"2026-09-12T19:14:36.077Z","lastSeenAt":"2026-10-23T12:00:19.812Z","delistedAt":null,"designatedAt":"2025-10-16T00:00:00.000Z","legalBasis":null,"reason":"La CNMV ha impuesto a CA Indosuez Wealth (Europe), Sucursal en España, una sanción de multa por importe de 200.000 euros por la comisión de una infracción continuada muy grave tipificada en el artículo 293.1.a) de la Ley 6/2023, de 17 de marzo, de los Mercados de Valores y de los Servicios de Inversión por el incumplimiento de la obligación recogida en el artículo 200.3, en relación con el artículo 216, ambos de la norma citada y con los artículos 46, 50 y 51 del Reglamento Delegado (UE) 2017/565, de la Comisión de 25 de abril de 2016, por el que se completa la Directiva 2014/65/UE del Parlamento Europeo y del Consejo en lo relativo a los requisitos organizativos y las condiciones de funcionamiento de las empresas de servicios de inversión y términos definidos a efectos de dicha Directiva, por el incumplimiento del deber de informar a los clientes ex ante de los costes, gastos e incentivos.\n\n[original (Spanish)]\n\nThe CNMV has imposed a fine of 200,000 euros on CA Indosuez Wealth (Europe), Branch in Spain, for the commission of a very serious continuous infringement classified in article 293.1.a) of Law 6/2023, of March 17, on Securities Markets and Investment Services for failure to comply with the obligation established in article 200 (3), in relation to article 216, both of the aforementioned law and with articles 46, 50 and 51 of Commission Delegated Regulation (EU) 2017/565 of 25 April 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive, for failure to comply with the duty to inform clients before costs, expenses and incentives. THIS DECISION HAS BEEN DECLARED FINAL.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14396","validTo":null,"listingId":"14396","source":{"name":"ESMA Sanctions Register","entityType":"debarment"},"listKind":"debarment"}],"officers":[],"sourceLinks":[{"externalId":"sn14397","fetchedAt":"2026-10-23T12:00:19.859Z","source":{"name":"ESMA Sanctions Register","url":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","official":false,"entityType":"debarment"}},{"externalId":"sn14396","fetchedAt":"2026-10-23T12:00:19.808Z","source":{"name":"ESMA Sanctions Register","url":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","official":false,"entityType":"debarment"}}],"relationshipsAsChild":[],"relationshipsAsParent":[]}