CA Indosuez Wealth (Europe), Sucursal en España

• LiftedComisión Nacional del Mercado de Valores (CNMV)

  Debarment

  In this state since

  12 Sept 2026

  Designated

  16 Oct 2025

  Reason given

  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. [original (Spanish)] The 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.

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14396)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  14396

• In forceComisión Nacional del Mercado de Valores (CNMV)

  Debarment

  In this state since

  12 Sept 2026

  Designated

  16 Oct 2025

  Reason given

  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. [original (Spanish)] The 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.

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14397)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  14397

• In forceComisión Nacional del Mercado de Valores (CNMV)

  MiFID

  In this state since

  12 Sept 2026

  Designated

  16 Oct 2025

  Reason given

  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. [original (Spanish)] The 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.

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14396)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  14396

• In forceComisión Nacional del Mercado de Valores (CNMV)

  MiFID

  In this state since

  12 Sept 2026

  Designated

  16 Oct 2025

  Reason given

  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. [original (Spanish)] The 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.

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14397)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  14397

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

As recorded by the assessment reading taken on 25 September 2026, 18:00 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 this jurisdiction's companies, so an ownership chain reaching one stops.

• 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.

• Australia DFAT Consolidated List

  Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here. 3,650 records read.

• Brazil CEIS (national procurement exclusions)

  Read on 21 October 2026. No date from the publisher is read for this file, so its age is not known here. 23,804 records read.

• Brazil MTE employer register (lista suja)

  Read on 21 October 2026. No date from the publisher is read for this file, so its age is not known here. 508 records read.

• Brazil TCU (firms declared inidôneas)

  Read on 22 October 2026. No date from the publisher is read for this file, so its age is not known here. 94 records read.

• Canada Consolidated Autonomous Sanctions List

  Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here. 5,708 records read.

• EBRD Ineligible Entities

  Read on 22 October 2026. No date from the publisher is read for this file, so its age is not known here. 1,278 records read.

• 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.

• EU Consolidated Sanctions List

  Read on 19 October 2026. The publisher dates the file 15 October 2026, 4 days before it was read. 6,234 records read. Publisher's version: globalFileId 185699.

• France AMF blacklist of unauthorised actors

  Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here. 2,574 records read.

• IDB Sanctioned Firms and Individuals

  Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here. 530 records read.

• Japan MOF Sanctions List

  Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here. 2,900 records read.

• Latvia FID frozen assets register

  Read on 20 October 2026. No date from the publisher is read for this file, so its age is not known here. 183 records read.

• Malaysia BNM financial consumer alert list

  Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here. 588 records read.

• Malaysia SC investor alert list

  Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here. 1,795 records read.

• Moldova procurement ban list

  Read on 29 September 2026. No date from the publisher is read for this file, so its age is not known here. 22 records read.

• New Zealand Russia Sanctions Register

  Read on 20 October 2026. No date from the publisher is read for this file, so its age is not known here. 529 records read.

• Norges Bank (fund exclusions and observation)

  Read on 20 October 2026. No date from the publisher is read for this file, so its age is not known here. 201 records read.

• OFAC Consolidated (non-SDN)

  Read on 19 October 2026. The publisher dates the file 14 September 2026, 35 days before it was read. 481 records read.

• OFAC SDN

  Read on 19 October 2026. The publisher dates the file 15 October 2026, 4 days before it was read. 17,556 records read.

• Poland MSWiA sanctions list

  Read on 21 October 2026. No date from the publisher is read for this file, so its age is not known here. 131 records read.

• SAM.gov Exclusions (US federal)

  Read on 24 October 2026. No date from the publisher is read for this file, so its age is not known here. 10,194 records read.

• Slovenia KPK business restrictions

  Read on 15 October 2026. No date from the publisher is read for this file, so its age is not known here. 4,351 records read.

• Swiss FINMA warning list

  Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here. 2,372 records read.

• Switzerland SECO Sanctions List

  Read on 19 October 2026. The publisher dates the file 15 October 2026, 4 days before it was read. 7,040 records read.

• Taiwan SHTC export entity list

  Read on 21 October 2026. No date from the publisher is read for this file, so its age is not known here. 11,664 records read.

• Türkiye MASAK asset freezes

  Read on 22 October 2026. No date from the publisher is read for this file, so its age is not known here. 2,304 records read.

• UK OFSI Consolidated List

  Read on 8 October 2026. The file carries no date of its own; its newest record is dated 3 June 2026, 127 days before it was read. Newest designation in the file: 2025-12-19. 5,120 records read.

• UK Sanctions List (FCDO)

  Read on 19 October 2026. The publisher dates the file 16 October 2026, 3 days before it was read. 5,705 records read.

• UN Security Council Consolidated List

  Read on 19 October 2026. The publisher dates the file 17 October 2026, 2 days before it was read. 1,010 records read.

• US CBP forced-labour orders (WRO & Findings)

  Read on 20 October 2026. No date from the publisher is read for this file, so its age is not known here. 63 records read.

• US Consolidated Screening List

  Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here. 6,474 records read.

• US UFLPA Entity List

  Read on 20 October 2026. No date from the publisher is read for this file, so its age is not known here. 205 records read.

• World Bank Listing of Ineligible Firms and Individuals

  Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here. 1,539 records read.

Taken

25 September 2026, 18:00 UTC

Methodology

Version 5

Level

Low

Score recorded

45 of 100

Digest

b1d113adb7ee61c1488608cfee7bc498a6c00314A fingerprint of everything the reading says. The same reading always has this digest, and any change in it gives another.

Reading id

405f9db5-38b0-4d1d-9a2c-ffb34b155b28

Address

https://apolika.com/entities/f7f9387f-4c43-41c4-813e-d8ef485cb81c/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/f7f9387f-4c43-41c4-813e-d8ef485cb81c/evidence?as_of=2026-10-25T00%3A49%3A06.334Z

Made

25 October 2026, 00:49 UTC