{"kind":"evidence_file","company":{"id":"537a9c32-125e-45fd-9e5b-195f23ef5544","name":"IQAM Invest GmbH","mergedInto":null},"asOf":"2026-10-25T14:15:16.128Z","asOfBasis":"instant","generatedAt":"2026-10-27T16:19:10.939Z","claims":[{"predicate":"name","value":"iqam invest","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn10576","observedAt":"2026-09-12T19:05:19.161Z","confirmedAt":"2026-10-23T12:00:07.109Z","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":"sn10576","observedAt":"2026-09-12T19:05:19.168Z","confirmedAt":"2026-10-23T12:00:07.112Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"10576","regime":"Austrian Financial Market Authority (FMA)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:05:19.186Z","designatedAt":"2021-12-10T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen die IQAM Invest GmbH wegen Verstößen gegen Veranlagungsbestimmungen Österreichs Finanzmarktaufsichtsbehörde FMA teilt mit, dass sie gegen die Kapitalanlagegesellschaft IQAM Invest GmbH als juristische Person eine Geldstrafe von 2.200 Euro wegen zwei Verstößen gegen Veranlagungsbestimmungen in Bezug auf Investmentfonds (§ 80 Absatz 1 Investmentfondsgesetz 2011 und § 3 Absatz 1 der 4. Derivate-Risikoberechnungs- und Meldeverordnung) mittels Straferkenntnis (im Wege der beschleunigten Verfahrensbeendigung gemäß § 22 Absatz 2b Finanzmarktaufsichtsbehördengesetz) verhängt hat. 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) hereby announced that is has imposed a fine of EUR 2,200 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 the investment fund management company IQAM Invest GmbH as a legal person for two breaches against the investment provisions (Article 80 para. 1 of the Investment Funds Act 2011 (InvFG 2011; Investmentfondsgesetz 2011) and Article 3 para. 1 of the 4th Derivatives Risk Measurement and Reporting Regulation (4.DeRiMV; 4. Derivate-Risikoberechnungs- und Meldeverordnung). The penal order is final.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn10576","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"10576","regime":"Austrian Financial Market Authority (FMA)","program":"UCITS","state":"in_force","stateSince":"2026-09-12T19:14:23.416Z","recordedAt":"2026-09-12T19:14:23.416Z","designatedAt":"2021-12-10T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen die IQAM Invest GmbH wegen Verstößen gegen Veranlagungsbestimmungen Österreichs Finanzmarktaufsichtsbehörde FMA teilt mit, dass sie gegen die Kapitalanlagegesellschaft IQAM Invest GmbH als juristische Person eine Geldstrafe von 2.200 Euro wegen zwei Verstößen gegen Veranlagungsbestimmungen in Bezug auf Investmentfonds (§ 80 Absatz 1 Investmentfondsgesetz 2011 und § 3 Absatz 1 der 4. Derivate-Risikoberechnungs- und Meldeverordnung) mittels Straferkenntnis (im Wege der beschleunigten Verfahrensbeendigung gemäß § 22 Absatz 2b Finanzmarktaufsichtsbehördengesetz) verhängt hat. 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) hereby announced that is has imposed a fine of EUR 2,200 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 the investment fund management company IQAM Invest GmbH as a legal person for two breaches against the investment provisions (Article 80 para. 1 of the Investment Funds Act 2011 (InvFG 2011; Investmentfondsgesetz 2011) and Article 3 para. 1 of the 4th Derivatives Risk Measurement and Reporting Regulation (4.DeRiMV; 4. Derivate-Risikoberechnungs- und Meldeverordnung). The penal order is final.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn10576","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"}],"ownership":[],"lists":[{"source":"ESMA Sanctions Register","readAt":"2026-10-23T12:00:38.517Z","recordsRead":845,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here."}],"reading":{"assessmentId":"5f898d09-9bba-4bce-9d30-51ead96148eb","takenAt":"2026-09-12T19:15:04.749Z","methodology":"v4","level":"medium","overall":65,"digest":"19a91d91f6728335398a9d11ff4f6d4a01847821","coverage":{"dimensions":[{"counts":{"found":1},"sources":[{"name":"ESMA Sanctions Register","status":"found","attemptedAt":"2026-09-12T19:14:40.601Z"}],"dimension":"sanctions"}],"jurisdictions":[{"gap":"No company register for this jurisdiction has been connected to this system, and none has been examined.","reasons":["registered here"],"countryId":"AT","registers":[]}]},"ownership":null},"limits":["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."]}