{"kind":"evidence_file","company":{"id":"628237ae-8ec5-47f1-96b3-2d48ce91000a","name":"ABRDN INVESTMENTS LUXEMBOURG S.A.","mergedInto":null},"asOf":"2026-10-25T00:48:30.707Z","asOfBasis":"instant","generatedAt":"2026-10-25T13:41:37.429Z","claims":[{"predicate":"identifier","value":"lei:213800K3MRPGMKRTEB15","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn12966","observedAt":"2026-09-12T19:06:04.022Z","confirmedAt":"2026-10-23T12:00:08.705Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"name","value":"abrdn investments luxembourg","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn12966","observedAt":"2026-09-12T19:06:03.988Z","confirmedAt":"2026-10-23T12:00:08.691Z","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":"sn12966","observedAt":"2026-09-12T19:06:03.996Z","confirmedAt":"2026-10-23T12:00:08.694Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"12966","regime":"Commission de Surveillance du Secteur Financier (CSSF)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:06:04.035Z","designatedAt":"2024-04-02T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"En date du 2 avril 2024, la CSSF a prononcé une amende d’ordre d’un montant de 126.200 euros au total à l’encontre du gestionnaire de fonds d’investissement abrdn Investments Luxembourg S.A. (le “GFI”), soumis aux dispositions du chapitre 15 de la loi modifiée du 17 décembre 2010 concernant les organismes de placement collectifs (la “Loi de 2010”) et agréé 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. Cette amende d’ordre est le résultat d’un contrôle sur place effectué par la CSSF entre le 22 avril et le 19 juin 2020, auprès du GFI, durant lequel la CSSF a identifié des violations répétées en matière de gouvernance interne et de LBC/FT du GFI. Cette amende d’ordre (126.200 euros au total) se compose de deux montants, dont un s’élève à un montant de 109.000 euros imposé en application des dispositions de l'article 148, paragraphe 2, lettres g) et j) et de l’article 148, paragraphe 4, lettre e) de la Loi de 2010 lus conjointement avec les dispositions de l’article 109, paragraphe 1, lettre a) pour non-respect des obligations de bonne organisation administrative et de mécanismes de contrôle interne adéquats ainsi que des dispositions de l’article 110, paragraphe 1, lettre f) de la Loi de 2010 concernant la supervision des délégataires.\n\n[original (French)]\n\nOn 2 April 2024, the CSSF imposed an administrative fine amounting to EUR 126,200 in total on the investment fund manager abrdn Investments Luxembourg 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. This administrative fine follows an on-site inspection carried out by the CSSF on the Manager between 22 April and 19 June 2020, during which the CSSF identified persistent breaches in the internal governance and AML/CFT frameworks of the Manager. The administrative fine (EUR 126,200 in total) is composed of two amounts of which one amounts to EUR 109,000 which is imposed pursuant to Article 148(2)(g), Article 148(2)(j) and Article 148(4)(e) of the Law of 2010 read together for failure to comply with the provisions of Article 109(1)(a) of the Law of 2010 regarding the requirements to have sound administrative procedures and adequate internal control mechanisms, and the provisions of Article 110(1)(f) of the Law of 2010 regarding the supervision of delegates.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12966","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"12966","regime":"Commission de Surveillance du Secteur Financier (CSSF)","program":"UCITS","state":"in_force","stateSince":"2026-09-12T19:14:24.927Z","recordedAt":"2026-09-12T19:14:24.927Z","designatedAt":"2024-04-02T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"En date du 2 avril 2024, la CSSF a prononcé une amende d’ordre d’un montant de 126.200 euros au total à l’encontre du gestionnaire de fonds d’investissement abrdn Investments Luxembourg S.A. (le “GFI”), soumis aux dispositions du chapitre 15 de la loi modifiée du 17 décembre 2010 concernant les organismes de placement collectifs (la “Loi de 2010”) et agréé 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. Cette amende d’ordre est le résultat d’un contrôle sur place effectué par la CSSF entre le 22 avril et le 19 juin 2020, auprès du GFI, durant lequel la CSSF a identifié des violations répétées en matière de gouvernance interne et de LBC/FT du GFI. Cette amende d’ordre (126.200 euros au total) se compose de deux montants, dont un s’élève à un montant de 109.000 euros imposé en application des dispositions de l'article 148, paragraphe 2, lettres g) et j) et de l’article 148, paragraphe 4, lettre e) de la Loi de 2010 lus conjointement avec les dispositions de l’article 109, paragraphe 1, lettre a) pour non-respect des obligations de bonne organisation administrative et de mécanismes de contrôle interne adéquats ainsi que des dispositions de l’article 110, paragraphe 1, lettre f) de la Loi de 2010 concernant la supervision des délégataires.\n\n[original (French)]\n\nOn 2 April 2024, the CSSF imposed an administrative fine amounting to EUR 126,200 in total on the investment fund manager abrdn Investments Luxembourg 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. This administrative fine follows an on-site inspection carried out by the CSSF on the Manager between 22 April and 19 June 2020, during which the CSSF identified persistent breaches in the internal governance and AML/CFT frameworks of the Manager. The administrative fine (EUR 126,200 in total) is composed of two amounts of which one amounts to EUR 109,000 which is imposed pursuant to Article 148(2)(g), Article 148(2)(j) and Article 148(4)(e) of the Law of 2010 read together for failure to comply with the provisions of Article 109(1)(a) of the Law of 2010 regarding the requirements to have sound administrative procedures and adequate internal control mechanisms, and the provisions of Article 110(1)(f) of the Law of 2010 regarding the supervision of delegates.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12966","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":"829bbf0b-25e6-4232-ae8d-ebc921a8c69e","takenAt":"2026-09-12T19:15:05.392Z","methodology":"v4","level":"medium","overall":65,"digest":"2b81c1651b97fbd6f2698ac44783ca23024021eb","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."]}