{"kind":"evidence_file","company":{"id":"5a8728fe-8bf2-4c5d-863e-177a5b0a0b62","name":"Schoellerbank Invest AG","mergedInto":null},"asOf":"2026-10-25T04:35:25.158Z","asOfBasis":"instant","generatedAt":"2026-10-26T19:22:37.182Z","claims":[{"predicate":"name","value":"schoellerbank invest ag","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn13985","observedAt":"2026-09-12T19:06:36.648Z","confirmedAt":"2026-10-23T12:00:10.563Z","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":"sn13985","observedAt":"2026-09-12T19:06:36.655Z","confirmedAt":"2026-10-23T12:00:10.566Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"13985","regime":"Austrian Financial Market Authority (FMA)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:06:36.672Z","designatedAt":"2025-04-29T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen die Schoellerbank Invest AG wegen Verstoßes gegen die Veranlagungsbestimmungen Österreichs Finanzmarktaufsichtsbehörde FMA hat gegen die Schoellerbank Invest AG als juristische Person eine Geldstrafe von 12.000 Euro verhängt. Es handelt sich um eine beschleunigte Verfahrensbeendigung gemäß § 22 Abs. 2b Finanzmarktaufsichtsbehördengesetz (FMABG). Grund ist ein Verstoß gegen die von der FMA bewilligten Fondsbestimmungen. Konkret hat die Schoellerbank Invest AG die Quote für die Aufnahme von Geldmarktinstrumenten in einem Anleihenfonds mehrmals überschritten. Diese Quoten dienen dem Schutz des Fondsvermögens. Das Straferkenntnis ist rechtskräftig.\n\n[original (German)]\n\nAnnouncement: FMA imposes sanction against Schoellerbank Invest AG for a breach of investment provisions The Austrian Financial Market Authority (FMA) has imposed a fine of EUR 12,000 on Schoellerbank Invest AG 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). The reason was that fund rules approved by the FMA were breached. Schoellerbank Invest AG specifically exceeded the quota for taking on of money-market instruments in a bond fund on several occasions. Such quotas exist to safeguard the assets of the fund. The penal order is final.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn13985","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"13985","regime":"Austrian Financial Market Authority (FMA)","program":"UCITS","state":"in_force","stateSince":"2026-09-12T19:14:26.847Z","recordedAt":"2026-09-12T19:14:26.847Z","designatedAt":"2025-04-29T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen die Schoellerbank Invest AG wegen Verstoßes gegen die Veranlagungsbestimmungen Österreichs Finanzmarktaufsichtsbehörde FMA hat gegen die Schoellerbank Invest AG als juristische Person eine Geldstrafe von 12.000 Euro verhängt. Es handelt sich um eine beschleunigte Verfahrensbeendigung gemäß § 22 Abs. 2b Finanzmarktaufsichtsbehördengesetz (FMABG). Grund ist ein Verstoß gegen die von der FMA bewilligten Fondsbestimmungen. Konkret hat die Schoellerbank Invest AG die Quote für die Aufnahme von Geldmarktinstrumenten in einem Anleihenfonds mehrmals überschritten. Diese Quoten dienen dem Schutz des Fondsvermögens. Das Straferkenntnis ist rechtskräftig.\n\n[original (German)]\n\nAnnouncement: FMA imposes sanction against Schoellerbank Invest AG for a breach of investment provisions The Austrian Financial Market Authority (FMA) has imposed a fine of EUR 12,000 on Schoellerbank Invest AG 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). The reason was that fund rules approved by the FMA were breached. Schoellerbank Invest AG specifically exceeded the quota for taking on of money-market instruments in a bond fund on several occasions. Such quotas exist to safeguard the assets of the fund. The penal order is final.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn13985","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":"fdd90b14-62fa-4ea9-b836-a137cdc1506c","takenAt":"2026-09-12T19:15:04.996Z","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."]}