{"kind":"evidence_file","company":{"id":"6a017619-91f9-41d2-95c2-c02a051ee82a","name":"3 Banken-Generali Investment-Gesellschaft m.b.H.","mergedInto":null},"asOf":"2026-10-25T00:48:39.991Z","asOfBasis":"instant","generatedAt":"2026-10-27T00:07:36.460Z","claims":[{"predicate":"name","value":"3 banken-generali investment-gesellschaft","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn14715","observedAt":"2026-09-12T19:08:59.817Z","confirmedAt":"2026-10-23T12:00:20.050Z","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":"sn14715","observedAt":"2026-09-12T19:08:59.821Z","confirmedAt":"2026-10-23T12:00:20.054Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"14715","regime":"Austrian Financial Market Authority (FMA)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:08:59.837Z","designatedAt":"2026-01-21T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: Die FMA verhängt Sanktion gegen die 3 Banken-Generali Investment-Gesellschaft m.b.H. wegen Verletzung von Veröffentlichungspflichten Österreichs Finanzmarktaufsichtsbehörde FMA hat gegen die 3 Banken-Generali Investment-Gesellschaft m.b.H. eine Geldstrafe iHv 14.000 Euro verhängt. Das Verfahren wurde gemäß § 22 Absatz 2b Finanz­marktaufsichtsbehördengesetz (FMABG) beschleunigt beendet. Die Kapitalanlagegesellschaft hat es in Bezug auf mehrere Miteigentumsfonds unterlassen, erforderliche Dokumente gemäß § 136 und § 138 Investmentfondsgesetz 2011 (InvFG 2011) rechtmäßig zu veröffentlichen. Die betreffenden Bestimmungen dienen der Wahrung der Informationsrechte der Anleger. Das Straferkenntnis ist rechtskräftig.\n\n[original (German)]\n\nAnnouncement: The FMA imposes a sanction against 3 Banken-Generali Investment-Gesellschaft m.b.H. for breaching disclosure obligations The Austrian Financial Market Authority (FMA) has imposed a fine of EUR 14,000 against 3 Banken-Generali Investment-Gesellschaft m.b.H. The proceedings were concluded in an accelerated manner pursuant to Article 22 para. 2b of the Financial Market Authority Act (FMABG; Finanzmarktaufsichtsbehördengesetz). In relation to several jointly owned funds, the investment fund management company failed to publish documents pursuant to Article 136 and Article 138 of the Investment Funds Act 2011 (InvFG 2011; Investmentfondsgesetz 2011) as legally required. The provisions in question serve the purpose of ensuring investors’ rights of information. The penal order is final.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14715","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"14715","regime":"Austrian Financial Market Authority (FMA)","program":"UCITS","state":"in_force","stateSince":"2026-09-12T19:14:36.326Z","recordedAt":"2026-09-12T19:14:36.326Z","designatedAt":"2026-01-21T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: Die FMA verhängt Sanktion gegen die 3 Banken-Generali Investment-Gesellschaft m.b.H. wegen Verletzung von Veröffentlichungspflichten Österreichs Finanzmarktaufsichtsbehörde FMA hat gegen die 3 Banken-Generali Investment-Gesellschaft m.b.H. eine Geldstrafe iHv 14.000 Euro verhängt. Das Verfahren wurde gemäß § 22 Absatz 2b Finanz­marktaufsichtsbehördengesetz (FMABG) beschleunigt beendet. Die Kapitalanlagegesellschaft hat es in Bezug auf mehrere Miteigentumsfonds unterlassen, erforderliche Dokumente gemäß § 136 und § 138 Investmentfondsgesetz 2011 (InvFG 2011) rechtmäßig zu veröffentlichen. Die betreffenden Bestimmungen dienen der Wahrung der Informationsrechte der Anleger. Das Straferkenntnis ist rechtskräftig.\n\n[original (German)]\n\nAnnouncement: The FMA imposes a sanction against 3 Banken-Generali Investment-Gesellschaft m.b.H. for breaching disclosure obligations The Austrian Financial Market Authority (FMA) has imposed a fine of EUR 14,000 against 3 Banken-Generali Investment-Gesellschaft m.b.H. The proceedings were concluded in an accelerated manner pursuant to Article 22 para. 2b of the Financial Market Authority Act (FMABG; Finanzmarktaufsichtsbehördengesetz). In relation to several jointly owned funds, the investment fund management company failed to publish documents pursuant to Article 136 and Article 138 of the Investment Funds Act 2011 (InvFG 2011; Investmentfondsgesetz 2011) as legally required. The provisions in question serve the purpose of ensuring investors’ rights of information. The penal order is final.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14715","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":"0e2cce27-02a0-4cea-9d49-27f158529da0","takenAt":"2026-09-12T19:15:05.756Z","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."]}