{"kind":"evidence_file","company":{"id":"76afefe6-ab27-4168-9628-dedbd8799001","name":"Erste Asset Management GmbH","mergedInto":null},"asOf":"2026-10-25T02:43:09.230Z","asOfBasis":"instant","generatedAt":"2026-10-27T07:51:36.208Z","claims":[{"predicate":"name","value":"erste asset management","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn14366","observedAt":"2026-09-12T19:06:36.906Z","confirmedAt":"2026-10-23T12:00:10.687Z","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":"sn14366","observedAt":"2026-09-12T19:06:36.914Z","confirmedAt":"2026-10-23T12:00:10.690Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"14366","regime":"Austrian Financial Market Authority (FMA)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:06:36.933Z","designatedAt":"2025-09-23T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen die Erste Asset Management GmbH wegen Verstößen gegen Veranlagungsbestimmungen Österreichs Finanzmarktaufsichtsbehörde FMA hat gegen die Erste Asset Management GmbH als juristische Person eine Geldstrafe von 105.000 Euro verhängt. Es handelt sich um eine beschleunigte Verfahrensbeendigung gemäß § 22 Abs. 2b Finanzmarktaufsichtsbehördengesetz (FMABG). Grund sind mehrere Verstöße gegen die Veranlagungsbestimmungen im Investmentfondsgesetz 2011 (InvFG 2011). Konkret hat die Erste Asset Management GmbH die Grenze für Kreditaufnahmen auf Rechnung des Fondsvermögens und die Quote zur Aufnahme von Anteilen an ein und demselben Fonds in das Fondsvermögen überschritten. Diese Grenzen dienen dem Schutz des Fondsvermögens. Das Straferkenntnis ist rechtskräftig.\n\n[original (German)]\n\nAnnouncement: FMA imposes sanction against Erste Asset Management GmbH for breaches against investment provisions The Austrian Financial Market Authority (FMA) has imposed a fine of EUR 105,000 on Erste Asset Management GmbH 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 for this sanction multiple breaches of investment terms in the Investment Funds Act 2011 (InvFG 2011; Investmentfondsgesetz 2011). Specifically, Erste Asset Management GmbH has exceeded the limit for the taking out of loans on the account of the assets of the fund and the ratio for including units in one and the same fund into the assets of the fund. These limits 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=sn14366","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"14366","regime":"Austrian Financial Market Authority (FMA)","program":"UCITS","state":"in_force","stateSince":"2026-09-12T19:14:26.970Z","recordedAt":"2026-09-12T19:14:26.970Z","designatedAt":"2025-09-23T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen die Erste Asset Management GmbH wegen Verstößen gegen Veranlagungsbestimmungen Österreichs Finanzmarktaufsichtsbehörde FMA hat gegen die Erste Asset Management GmbH als juristische Person eine Geldstrafe von 105.000 Euro verhängt. Es handelt sich um eine beschleunigte Verfahrensbeendigung gemäß § 22 Abs. 2b Finanzmarktaufsichtsbehördengesetz (FMABG). Grund sind mehrere Verstöße gegen die Veranlagungsbestimmungen im Investmentfondsgesetz 2011 (InvFG 2011). Konkret hat die Erste Asset Management GmbH die Grenze für Kreditaufnahmen auf Rechnung des Fondsvermögens und die Quote zur Aufnahme von Anteilen an ein und demselben Fonds in das Fondsvermögen überschritten. Diese Grenzen dienen dem Schutz des Fondsvermögens. Das Straferkenntnis ist rechtskräftig.\n\n[original (German)]\n\nAnnouncement: FMA imposes sanction against Erste Asset Management GmbH for breaches against investment provisions The Austrian Financial Market Authority (FMA) has imposed a fine of EUR 105,000 on Erste Asset Management GmbH 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 for this sanction multiple breaches of investment terms in the Investment Funds Act 2011 (InvFG 2011; Investmentfondsgesetz 2011). Specifically, Erste Asset Management GmbH has exceeded the limit for the taking out of loans on the account of the assets of the fund and the ratio for including units in one and the same fund into the assets of the fund. These limits 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=sn14366","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":"af6545f5-725f-4107-a6e8-3c56158e1fbf","takenAt":"2026-09-12T19:15:06.214Z","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."]}