RIVA Y GARCIA GESTION, S.G.I.I.C., S.A.

• LiftedComisión Nacional del Mercado de Valores (CNMV)

  Debarment

  In this state since

  12 Sept 2026

  Designated

  18 Oct 2024

  Reason given

  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. [original (Spanish)] The 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

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn13673)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  13673

• In forceComisión Nacional del Mercado de Valores (CNMV)

  UCITS

  In this state since

  12 Sept 2026

  Designated

  18 Oct 2024

  Reason given

  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. [original (Spanish)] The 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

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn13673)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  13673

No ownership verdict was on file for this company on 25 October 2026.

As recorded by the assessment reading taken on 12 September 2026, 19:15 UTC, the newest on or before the date. Only “checked, not found” means a source was read in full and held nothing for the company.

Where the company is registered or connected

• ES: registered here

  No company register for this jurisdiction has been connected to this system, and none has been examined. No register here states who owns its companies.

• 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.

For each source behind this file, the newest read made on or before the date: the version of it that stood.

• ESMA Sanctions Register

  Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here. 845 records read.

Taken

12 September 2026, 19:15 UTC

Methodology

Version 4

Level

Medium

Score recorded

65 of 100

Digest

d34dec7ba80b6872adba13063460ef6a516ec7ecA fingerprint of everything the reading says. The same reading always has this digest, and any change in it gives another.

Reading id

f3fbb74f-a6b9-4945-8eca-ce4de8f3739d

Address

https://apolika.com/entities/c6287034-44bf-4b94-b9c1-829358744b0b/evidence?as_of=2026-10-25The same address gives the same day's file tomorrow. What was recorded after the date is not in it.

As data

https://apolika.com/api/entities/c6287034-44bf-4b94-b9c1-829358744b0b/evidence?as_of=2026-10-25T00%3A50%3A39.246Z

Made

25 October 2026, 00:50 UTC