{"kind":"evidence_file","company":{"id":"5696734b-2b48-475e-bb14-0f379e0e50ec","name":"SPARINVEST S.A.","mergedInto":null},"asOf":"2026-10-26T11:18:04.069Z","asOfBasis":"instant","generatedAt":"2026-10-27T22:39:03.896Z","claims":[{"predicate":"name","value":"sparinvest","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn11426","observedAt":"2026-09-12T19:05:51.060Z","confirmedAt":"2026-10-23T12:00:07.874Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"primary_country","value":"LU","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn11426","observedAt":"2026-09-12T19:05:51.067Z","confirmedAt":"2026-10-23T12:00:07.877Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"11426","regime":"Commission de Surveillance du Secteur Financier (CSSF)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:05:51.085Z","designatedAt":"2022-11-15T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"En date du 15 novembre 2022, la CSSF a prononcé une amende d’ordre d’un montant total de 36.449 EUR à l’encontre du gestionnaire de fonds d'investissement Sparinvest S.A. (le « Gestionnaire »), soumis aux dispositions du chapitre 15 de la loi modifiée du 17 décembre 2010 concernant les organismes de placement collectif (la « Loi de 2010 ») et autorisé en tant que gestionnaire de fonds d’investissement alternatifs conformément aux dispositions de la loi modifiée du 12 juillet 2013 relative aux gestionnaires de fonds d’investissement alternatifs (la « Loi de 2013 »). Cette amende d’ordre a été prononcée en application des dispositions des articles 148, paragraphe 4, point e) et 148 paragraphe 2, point j) de la Loi de 2010, lus en combinaison avec l’article 110, paragraphe 1, point f) de la Loi de 2010, et tenant compte des dispositions de l'article 149bis de cette loi. Cette amende d’ordre fait suite à un contrôle sur place effectué par la CSSF auprès du Gestionnaire durant lequel ont été mis en évidence certains manquements ponctuels aux dispositions de la Loi de 2010 relatives aux exigences en matière de délégation de fonctions. Afin de déterminer le montant de l’amende d’ordre, la CSSF a dûment pris en considération les actions correctrices déjà entreprises par le Gestionnaire pour pallier les déficiences constatées, ainsi que celles qu’il s’est engagé à mettre en place.\n\n[original (French)]\n\nOn 15 November 2022, the CSSF imposed an administrative fine amounting to EUR 36,449 in total on the investment fund manager Sparinvest S.A. (the “Manager”) subject to Chapter 15 of the amended Law of 17 December 2010 relating to undertakings for collective investment (the “Law of 2010”) and authorised as alternative investment fund manager according to the provisions of the amended Law of 12 July 2013 on alternative investment fund managers (the Law of 2013”). The administrative fine is imposed pursuant to Articles 148(4)(e) and 148(2)(j) of the Law of 2010, read in conjunction with Article 110(1)(f) of the Law of 2010, and taking into account the provisions of Article 149bis of the said law. The administrative fine is the result of an on-site inspection carried out by the CSSF to the Manager during which have been identified some isolated failures to comply with the provisions of the Law of 2010 relating to the requirements with regards to the delegation of functions. In determining the amount of the administrative fine, the CSSF has duly taken into consideration the remedial actions already undertaken by the Manager in order to address the deficiencies identified, as well as those the Manager is committed to implementing.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn11426","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"11426","regime":"Commission de Surveillance du Secteur Financier (CSSF)","program":"UCITS","state":"in_force","stateSince":"2026-09-12T19:14:24.159Z","recordedAt":"2026-09-12T19:14:24.159Z","designatedAt":"2022-11-15T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"En date du 15 novembre 2022, la CSSF a prononcé une amende d’ordre d’un montant total de 36.449 EUR à l’encontre du gestionnaire de fonds d'investissement Sparinvest S.A. (le « Gestionnaire »), soumis aux dispositions du chapitre 15 de la loi modifiée du 17 décembre 2010 concernant les organismes de placement collectif (la « Loi de 2010 ») et autorisé en tant que gestionnaire de fonds d’investissement alternatifs conformément aux dispositions de la loi modifiée du 12 juillet 2013 relative aux gestionnaires de fonds d’investissement alternatifs (la « Loi de 2013 »). Cette amende d’ordre a été prononcée en application des dispositions des articles 148, paragraphe 4, point e) et 148 paragraphe 2, point j) de la Loi de 2010, lus en combinaison avec l’article 110, paragraphe 1, point f) de la Loi de 2010, et tenant compte des dispositions de l'article 149bis de cette loi. Cette amende d’ordre fait suite à un contrôle sur place effectué par la CSSF auprès du Gestionnaire durant lequel ont été mis en évidence certains manquements ponctuels aux dispositions de la Loi de 2010 relatives aux exigences en matière de délégation de fonctions. Afin de déterminer le montant de l’amende d’ordre, la CSSF a dûment pris en considération les actions correctrices déjà entreprises par le Gestionnaire pour pallier les déficiences constatées, ainsi que celles qu’il s’est engagé à mettre en place.\n\n[original (French)]\n\nOn 15 November 2022, the CSSF imposed an administrative fine amounting to EUR 36,449 in total on the investment fund manager Sparinvest S.A. (the “Manager”) subject to Chapter 15 of the amended Law of 17 December 2010 relating to undertakings for collective investment (the “Law of 2010”) and authorised as alternative investment fund manager according to the provisions of the amended Law of 12 July 2013 on alternative investment fund managers (the Law of 2013”). The administrative fine is imposed pursuant to Articles 148(4)(e) and 148(2)(j) of the Law of 2010, read in conjunction with Article 110(1)(f) of the Law of 2010, and taking into account the provisions of Article 149bis of the said law. The administrative fine is the result of an on-site inspection carried out by the CSSF to the Manager during which have been identified some isolated failures to comply with the provisions of the Law of 2010 relating to the requirements with regards to the delegation of functions. In determining the amount of the administrative fine, the CSSF has duly taken into consideration the remedial actions already undertaken by the Manager in order to address the deficiencies identified, as well as those the Manager is committed to implementing.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn11426","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":"e267588f-5316-4680-8e3e-92f48a1c1c60","takenAt":"2026-09-12T19:15:04.887Z","methodology":"v4","level":"medium","overall":65,"digest":"b3283cfd763103bcbde3da09204c732bc28bec2c","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":"LU","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."]}