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CMVM applies fines of 137,500 euros in administrative offense proceedings
The Portuguese Securities Market Commission (CMVM) announced today that it has applied three fines totalling 137,500 euros and four warnings in the scope of five administrative offence proceedings on which it decided in the first quarter of this year.
Economia CMVM
According to the periodic statistics on administrative offenses, of the five proceedings in which the regulator issued a decision between January and March 2024, four concern duties to combat money laundering and terrorist financing and one is related to the activity of collective investment undertakings.
In the same period, the CMVM instituted five new administrative offense proceedings, two referring to the activity of collective investment undertakings, one for violation of the duties of information to the market, one for violation of the duties of financial intermediation and one for violation of duties to combat money laundering and terrorist financing.
In March, the CMVM had 52 administrative offense proceedings in progress, of which 18 referred to the performance of auditors, 16 related to violations of financial intermediation duties, six related to violations of duties of information to the market, five related to the activity of collective investment undertakings, four related to duties to combat money laundering and terrorist financing, and three related to market trading duties.
According to the regulator, at the end of the first quarter, four proceedings were pending a decision in the courts.
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