{"kind":"evidence_file","company":{"id":"8ad75a50-5fc2-4143-b40e-f7ce2c9d4711","name":"Capital Counsel LLC","mergedInto":null},"asOf":"2026-10-25T00:50:57.620Z","asOfBasis":"instant","generatedAt":"2026-10-27T17:24:40.302Z","claims":[{"predicate":"name","value":"capital counsel","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn13427","observedAt":"2026-09-12T19:08:43.902Z","confirmedAt":"2026-10-23T12:00:18.786Z","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":"sn13427","observedAt":"2026-09-12T19:08:43.907Z","confirmedAt":"2026-10-23T12:00:18.789Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"13427","regime":"Austrian Financial Market Authority (FMA)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:08:43.923Z","designatedAt":"2024-12-04T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"BEKANNTMACHUNG Die FMA warnt vor Angeboten der Capital Counsel LLC Web: https://capitalcoun.com/ E-Mail: invest@capitalcoun.de mit angeblichem Sitz in: New York, London und St. Pölten Dieser Anbieter hat keine Berechtigung, konzessionspflichtige Wertpapierdienstleistungen in Österreich zu erbringen und darf daher die gewerbliche Anlageberatung in Bezug auf Finanzinstrumente (§ 3 Abs 2 Z 1 Wertpapieraufsichtsgesetz 2018) nicht anbieten. Auf eine Verwechslungsgefahr mit einem anderen Anbieter von Finanzdienstleistungen wird hingewiesen. Diese Veröffentlichung basiert auf § 92 Abs 11 Wertpapieraufsichtsgesetz 2018.\n\n[original (German)]\n\nANNOUNCEMENT Attention! The FMA warns against offerings by Capital Counsel LLC Web: https://capitalcoun.com/ E-Mail: invest@capitalcoun.de with its registered office apparently in New York, London und St. Pölten This providers is not authorised to conduct investment services requiring a licence in Austria and therefore is not allowed to conduct investment advice in relation to financial instruments (pursuant to Article 3 para. 2 no. 1 of the Securities Supervision Act 2018) We advise that there is a risk of confusion with another financial service provider. The basis for this publication is Article 92 para. 11 of the Securities Supervision Act 2018","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn13427","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"13427","regime":"Austrian Financial Market Authority (FMA)","program":"MiFID","state":"in_force","stateSince":"2026-09-12T19:14:34.990Z","recordedAt":"2026-09-12T19:14:34.990Z","designatedAt":"2024-12-04T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"BEKANNTMACHUNG Die FMA warnt vor Angeboten der Capital Counsel LLC Web: https://capitalcoun.com/ E-Mail: invest@capitalcoun.de mit angeblichem Sitz in: New York, London und St. Pölten Dieser Anbieter hat keine Berechtigung, konzessionspflichtige Wertpapierdienstleistungen in Österreich zu erbringen und darf daher die gewerbliche Anlageberatung in Bezug auf Finanzinstrumente (§ 3 Abs 2 Z 1 Wertpapieraufsichtsgesetz 2018) nicht anbieten. Auf eine Verwechslungsgefahr mit einem anderen Anbieter von Finanzdienstleistungen wird hingewiesen. Diese Veröffentlichung basiert auf § 92 Abs 11 Wertpapieraufsichtsgesetz 2018.\n\n[original (German)]\n\nANNOUNCEMENT Attention! The FMA warns against offerings by Capital Counsel LLC Web: https://capitalcoun.com/ E-Mail: invest@capitalcoun.de with its registered office apparently in New York, London und St. Pölten This providers is not authorised to conduct investment services requiring a licence in Austria and therefore is not allowed to conduct investment advice in relation to financial instruments (pursuant to Article 3 para. 2 no. 1 of the Securities Supervision Act 2018) We advise that there is a risk of confusion with another financial service provider. The basis for this publication is Article 92 para. 11 of the Securities Supervision Act 2018","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn13427","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":"5c841c04-6c4e-4699-8eac-69b5721ef63d","takenAt":"2026-09-12T19:15:07.072Z","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."]}