The Securities Market Commission (CMVM) announced on Monday it issued a decision in eleven offenses processes in the second quarter of this year, having applied a total of 775,000 euros in fines.
This If eight very serious offenses, serious and two minor, says in a statement, adding that in addition to the fines was applied a warning.
Between April and June, the CMVM issued a decision in eleven cases of administrative offense , including three for breach of market information duties, three for breach of financial intermediation duties and five relating to the activity of collective investment, he says.
in the same period were initiated eight contraventions processes of which one for breach of market information duties, one relating to market trading duties, five relating to the activity of collective investment undertakings and on the performance of auditors.
in the second quarter, were pending decision in the courts six cases, explained in a statement, adding that “at the end of June were underway [in CMVM] 119 administrative offense cases.”
of these, 33 relate to duties violations financial intermediation, 28 have to do with information duties violations, 28 refer to the activity of collective investment schemes, 25 for breach of market trading duties and five on the performance of auditors.
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