{"kind":"evidence_file","company":{"id":"354dcea1-4293-45fe-95f3-7a0fb203988f","name":"IQAM Invest GmbH","mergedInto":null},"asOf":"2026-10-25T00:49:22.107Z","asOfBasis":"instant","generatedAt":"2026-10-27T22:56:57.521Z","claims":[{"predicate":"name","value":"iqam invest","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn12265","observedAt":"2026-09-12T19:05:53.511Z","confirmedAt":"2026-10-23T12:00:07.919Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"name","value":"iqam invest","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn14470","observedAt":"2026-09-25T17:45:07.861Z","confirmedAt":"2026-10-23T12:00:10.707Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"primary_country","value":"AT","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn12265","observedAt":"2026-09-12T19:05:53.516Z","confirmedAt":"2026-10-23T12:00:07.922Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"primary_country","value":"AT","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn14470","observedAt":"2026-09-25T17:45:07.864Z","confirmedAt":"2026-10-23T12:00:10.710Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"12265","regime":"Austrian Financial Market Authority (FMA)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:05:53.540Z","designatedAt":"2023-09-26T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen IQAM Invest GmbH wegen eines Verstoßes gegen Veranlagungsvorschriften und eines Verstoßes gegen Aufsichtsbestimmungen Die österreichische Finanzmarktaufsichtsbehörde FMA teilt mit, dass sie gegen die IQAM Invest GmbH als juristische Person wegen eines Verstoßes gegen Veranlagungsbestimmungen in Bezug auf Investmentfonds (§ 80 Absatz 1 Investmentfondsgesetz 2011, InvFG 2011) und eines Verstoßes gegen Aufsichtsbestimmungen in Bezug auf Investmentfonds (§ 151 Z 12 InvFG 2011) mittels Straferkenntnis im Wege der beschleunigten Verfahrensbeendigung gemäß § 22 Absatz 2b Finanzmarktaufsichtsbehördengesetz (FMABG) eine Geldstrafe von 1.470 Euro verhängt hat. Das Straferkenntnis ist rechtskräftig.\n\n[original (German)]\n\nAnnouncement: FMA imposes sanction against IQAM Invest GmbH for a breach of investment provisions and a breaches on provisions in relation to supervision The Austrian Financial Market Authority (FMA) hereby announces that it has imposed a fine of EUR 1,470 by means of a penal order (by way of the accelerated conclusion of proceedings pursuant to Article 22 para. 2b of the Financial Market Authority Act (FMABG; Finanzmarktaufsichtsbehördengesetz) against IQAM Invest GmbH as a legal person for a breach of the investment provisions in relation to investment funds (Article 80 para. 1 of the Investment Funds Act 2011 (InvFG 2011; Investmentfondsgesetz 2011) and a breach of provisions about supervision in relation to investment funds (Article 151 no. 12 InvFG 2011). The penal order is final.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12265","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"14470","regime":"Austrian Financial Market Authority (FMA)","program":"Debarment","state":"in_force","stateSince":"2026-09-12T19:06:36.982Z","recordedAt":"2026-09-12T19:06:36.982Z","designatedAt":"2025-11-18T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen die IQAM Invest GmbH wegen Verstößen gegen Veranlagungsbestimmungen Die österreichische Finanzmarktaufsichtsbehörde FMA hat gegen die IQAM Invest GmbH als juristische Person eine Geldstrafe von 7.000 Euro verhängt. Es handelt sich um eine beschleunigte Verfahrensbeendigung gemäß § 22 Abs. 2b Finanzmarktaufsichtsbehördengesetz (FMABG). Die IQAM Invest GmbH hat für zwei von ihr verwalteten Fonds in Fondsanteile eines dritten Fonds investiert, der nach seinen Vertragsbedingungen nicht den vorgeschriebenen Veranlagungskriterien des § 71 Abs. 1 Investmentfondsgesetz 2011 entsprach. Diese Bestimmung dient dem Anleger:Innenschutz. Das Straferkenntnis ist rechtskräftig.\n\n[original (German)]\n\nAnnouncement: FMA imposes sanction against IQAM Invest GmbH for breaches against investment conditions The Austrian Financial Market Authority (FMA) has imposed a fine of EUR 7,000 on IQAM Invest GmbH as a legal person. Proceedings were concluded under the accelerated conclusion of proceedings pursuant to Article 22 para. 2b of the Financial Market Authority Act (FMABG; Finanzmarktaufsichtsbehördengesetz). For two funds that IQAM Invest GmbH manages, it invested in fund units of a third fund that, based on its contractual conditions, did not correspond to the stipulated investment criteria in Article 71 para. 1 of the Investment Funds Act 2011 (InvFG 2011; Investmentfondsgesetz 2011). This provision exists for investor protection purposes. The penal order is final.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14470","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"12265","regime":"Austrian Financial Market Authority (FMA)","program":"UCITS","state":"in_force","stateSince":"2026-09-12T19:14:24.203Z","recordedAt":"2026-09-12T19:14:24.203Z","designatedAt":"2023-09-26T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen IQAM Invest GmbH wegen eines Verstoßes gegen Veranlagungsvorschriften und eines Verstoßes gegen Aufsichtsbestimmungen Die österreichische Finanzmarktaufsichtsbehörde FMA teilt mit, dass sie gegen die IQAM Invest GmbH als juristische Person wegen eines Verstoßes gegen Veranlagungsbestimmungen in Bezug auf Investmentfonds (§ 80 Absatz 1 Investmentfondsgesetz 2011, InvFG 2011) und eines Verstoßes gegen Aufsichtsbestimmungen in Bezug auf Investmentfonds (§ 151 Z 12 InvFG 2011) mittels Straferkenntnis im Wege der beschleunigten Verfahrensbeendigung gemäß § 22 Absatz 2b Finanzmarktaufsichtsbehördengesetz (FMABG) eine Geldstrafe von 1.470 Euro verhängt hat. Das Straferkenntnis ist rechtskräftig.\n\n[original (German)]\n\nAnnouncement: FMA imposes sanction against IQAM Invest GmbH for a breach of investment provisions and a breaches on provisions in relation to supervision The Austrian Financial Market Authority (FMA) hereby announces that it has imposed a fine of EUR 1,470 by means of a penal order (by way of the accelerated conclusion of proceedings pursuant to Article 22 para. 2b of the Financial Market Authority Act (FMABG; Finanzmarktaufsichtsbehördengesetz) against IQAM Invest GmbH as a legal person for a breach of the investment provisions in relation to investment funds (Article 80 para. 1 of the Investment Funds Act 2011 (InvFG 2011; Investmentfondsgesetz 2011) and a breach of provisions about supervision in relation to investment funds (Article 151 no. 12 InvFG 2011). The penal order is final.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12265","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"14470","regime":"Austrian Financial Market Authority (FMA)","program":"UCITS","state":"in_force","stateSince":"2026-09-12T19:14:26.990Z","recordedAt":"2026-09-12T19:14:26.990Z","designatedAt":"2025-11-18T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen die IQAM Invest GmbH wegen Verstößen gegen Veranlagungsbestimmungen Die österreichische Finanzmarktaufsichtsbehörde FMA hat gegen die IQAM Invest GmbH als juristische Person eine Geldstrafe von 7.000 Euro verhängt. Es handelt sich um eine beschleunigte Verfahrensbeendigung gemäß § 22 Abs. 2b Finanzmarktaufsichtsbehördengesetz (FMABG). Die IQAM Invest GmbH hat für zwei von ihr verwalteten Fonds in Fondsanteile eines dritten Fonds investiert, der nach seinen Vertragsbedingungen nicht den vorgeschriebenen Veranlagungskriterien des § 71 Abs. 1 Investmentfondsgesetz 2011 entsprach. Diese Bestimmung dient dem Anleger:Innenschutz. Das Straferkenntnis ist rechtskräftig.\n\n[original (German)]\n\nAnnouncement: FMA imposes sanction against IQAM Invest GmbH for breaches against investment conditions The Austrian Financial Market Authority (FMA) has imposed a fine of EUR 7,000 on IQAM Invest GmbH as a legal person. Proceedings were concluded under the accelerated conclusion of proceedings pursuant to Article 22 para. 2b of the Financial Market Authority Act (FMABG; Finanzmarktaufsichtsbehördengesetz). For two funds that IQAM Invest GmbH manages, it invested in fund units of a third fund that, based on its contractual conditions, did not correspond to the stipulated investment criteria in Article 71 para. 1 of the Investment Funds Act 2011 (InvFG 2011; Investmentfondsgesetz 2011). This provision exists for investor protection purposes. The penal order is final.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14470","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"}],"ownership":[],"lists":[{"source":"Australia DFAT Consolidated List","readAt":"2026-10-19T06:31:20.009Z","recordsRead":3650,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"Brazil CEIS (national procurement exclusions)","readAt":"2026-10-21T07:09:26.477Z","recordsRead":23804,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 21 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"Brazil MTE employer register (lista suja)","readAt":"2026-10-21T10:00:17.817Z","recordsRead":508,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 21 October 2026. 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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."]}