{"kind":"evidence_file","company":{"id":"f553fb32-9c41-46da-b107-d767ab0eaa2f","name":"GENERALI INVESTMENTS LUXEMBOURG S.A.","mergedInto":null},"asOf":"2026-10-24T19:47:43.930Z","asOfBasis":"instant","generatedAt":"2026-10-24T21:16:13.798Z","claims":[{"predicate":"name","value":"generali investments luxembourg","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn11073","observedAt":"2026-09-12T19:08:43.831Z","confirmedAt":"2026-10-23T12:00:18.762Z","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":"sn11073","observedAt":"2026-09-12T19:08:43.836Z","confirmedAt":"2026-10-23T12:00:18.766Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"11073","regime":"Commission de Surveillance du Secteur Financier (CSSF)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:08:43.852Z","designatedAt":"2022-03-11T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"En date du 11 mars 2022, la CSSF a prononcé une amende administrative d'un montant de 42.400 EUR à l’encontre du gestionnaire de fonds d'investissement Generali Investments Luxembourg S.A. (le « Gestionnaire ») soumis aux dispositions du chapitre 15 de la loi modifiée du 17 décembre 2010 concernant les organismes de placement collectif et autorisé 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 administrative a été prononcée en application des dispositions de l’article 3, paragraphe 3, point 3, de la loi modifiée du 15 mars 2016 relative aux produits dérivés de gré à gré, aux contreparties centrales et aux référentiels centraux (la « Loi EMIR ») et sur base des dispositions de l’article 3, paragraphe 1, point 1, de cette même loi. Elle fait suite à un contrôle sur place effectué auprès du Gestionnaire au cours duquel la CSSF a identifié certains manquements ponctuels concernant l'obligation de déclaration des contrats dérivés prévue à l'article 9, paragraphe 1, du règlement (UE) n° 648/2012 du Parlement européen et du Conseil du 4 juillet 2012 sur les produits dérivés de gré à gré, les contreparties centrales et les référentiels centraux. Afin de déterminer le montant de l'amende administrative, la CSSF a dûment pris en considération la coopération du Gestionnaire et les actions correctrices entreprises par celui-ci pour pallier les déficiences identifiées. La présente publication est faite en application de l’article 3, paragraphe 4, de la Loi EMIR.\n\n[original (French)]\n\nOn 11 March 2022, the CSSF imposed an administrative fine amounting to EUR 42,400 on the investment fund manager Generali Investments Luxembourg S.A. (the “Manager”) subject to Chapter 15 of the amended Law of 17 December 2010 relating to undertakings for collective investment 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 was imposed pursuant to Article 3(3), point (3) of the amended Law of 15 March 2016 on OTC derivatives, central counterparties and trade repositories and on the basis of Article 3(1), point (1) of the same law (the “EMIR Law”). It is the result of an on-site inspection of the Manager, during which the CSSF identified some isolated failures to comply with the reporting obligation of derivative contracts pursuant to Article 9(1) of Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories. In determining the amount of the administrative fine, the CSSF duly took into consideration the cooperation of the Manager and the remedial actions undertaken by the Manager in order to address the deficiencies identified. The present publication is made in accordance with Article 3(4) of the EMIR Law.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn11073","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"11073","regime":"Commission de Surveillance du Secteur Financier (CSSF)","program":"EMIR","state":"in_force","stateSince":"2026-09-12T19:14:34.966Z","recordedAt":"2026-09-12T19:14:34.966Z","designatedAt":"2022-03-11T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"En date du 11 mars 2022, la CSSF a prononcé une amende administrative d'un montant de 42.400 EUR à l’encontre du gestionnaire de fonds d'investissement Generali Investments Luxembourg S.A. (le « Gestionnaire ») soumis aux dispositions du chapitre 15 de la loi modifiée du 17 décembre 2010 concernant les organismes de placement collectif et autorisé 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 administrative a été prononcée en application des dispositions de l’article 3, paragraphe 3, point 3, de la loi modifiée du 15 mars 2016 relative aux produits dérivés de gré à gré, aux contreparties centrales et aux référentiels centraux (la « Loi EMIR ») et sur base des dispositions de l’article 3, paragraphe 1, point 1, de cette même loi. Elle fait suite à un contrôle sur place effectué auprès du Gestionnaire au cours duquel la CSSF a identifié certains manquements ponctuels concernant l'obligation de déclaration des contrats dérivés prévue à l'article 9, paragraphe 1, du règlement (UE) n° 648/2012 du Parlement européen et du Conseil du 4 juillet 2012 sur les produits dérivés de gré à gré, les contreparties centrales et les référentiels centraux. Afin de déterminer le montant de l'amende administrative, la CSSF a dûment pris en considération la coopération du Gestionnaire et les actions correctrices entreprises par celui-ci pour pallier les déficiences identifiées. La présente publication est faite en application de l’article 3, paragraphe 4, de la Loi EMIR.\n\n[original (French)]\n\nOn 11 March 2022, the CSSF imposed an administrative fine amounting to EUR 42,400 on the investment fund manager Generali Investments Luxembourg S.A. (the “Manager”) subject to Chapter 15 of the amended Law of 17 December 2010 relating to undertakings for collective investment 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 was imposed pursuant to Article 3(3), point (3) of the amended Law of 15 March 2016 on OTC derivatives, central counterparties and trade repositories and on the basis of Article 3(1), point (1) of the same law (the “EMIR Law”). It is the result of an on-site inspection of the Manager, during which the CSSF identified some isolated failures to comply with the reporting obligation of derivative contracts pursuant to Article 9(1) of Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories. In determining the amount of the administrative fine, the CSSF duly took into consideration the cooperation of the Manager and the remedial actions undertaken by the Manager in order to address the deficiencies identified. The present publication is made in accordance with Article 3(4) of the EMIR Law.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn11073","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":"2d577c97-5bf5-4d56-a875-19adbc97556e","takenAt":"2026-09-12T19:14:39.956Z","methodology":"v4","level":"medium","overall":65,"digest":"0c754bb47ccd72d32094798b3bd83588aa5b8a50","coverage":{"dimensions":[{"counts":{"found":1},"sources":[{"name":"ESMA Sanctions Register","status":"found","attemptedAt":"2026-09-12T19:11:10.666Z"}],"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."]}