LRI INVEST S.A.

• LiftedCommission de Surveillance du Secteur Financier (CSSF)

  Debarment

  In this state since

  12 Sept 2026

  Designated

  29 Apr 2022

  Reason given

  En date du 29 avril 2022, la CSSF a prononcé une amende d’ordre d’un montant total de 163.134 EUR à l’encontre du gestionnaire de fonds d'investissement LRI Invest S.A. (le « Gestionnaire »), soumis aux dispositions du chapitre 15 de la loi modifiée du 17 décembre 2010 concernant les organismes de placement collectif (la « Loi de 2010 ») 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 (la « Loi de 2013 »). Cette amende d’ordre se compose : - d'un montant de 131.239 EUR imposé en application des dispositions de l'article 148, paragraphe 4, point e) de la Loi de 2010, et tenant compte des dispositions de l'article 149bis de cette loi. Ce volet de l’amende d’ordre a été prononcé sur la base des dispositions de l'article 148, paragraphe 2, points g) et j), de la Loi de 2010 en raison de manquements aux dispositions de l’article 109, paragraphe 1, point a), et de l’article 110, paragraphe 1, point f), de la Loi de 2010 ; et - d’un montant de 31.895 EUR imposé en application des dispositions de l'article 51, paragraphe 2, de la Loi de 2013. Ce volet de l’amende d’ordre a été prononcé sur la base des dispositions de l'article 51, paragraphe 1), de la Loi de 2013 en raison de manquements aux dispositions de l'article 11, paragraphe 1, point a), de l'article 17, paragraphe 8), et de l'article 18, paragraphe 1, point f), de la Loi de 2013. Cette amende d’ordre fait suite à un contrôle sur place effectué par la CSSF auprès du Gestionnaire durant lequel ont été mis en évidence certains manquements ponctuels : - aux dispositions de la Loi de 2010 relatives aux principes généraux entourant les exigences organisationnelles ainsi que les exigences en matière de délégation de fonctions; et - aux dispositions de la Loi de 2013 relatives aux exigences en matière de gestion de portefeuille, à la fonction d'évaluation et aux exigences en matière de délégation de fonctions. Afin de déterminer le montant de l’amende d’ordre, la CSSF a dûment pris en considération les actions correctrices déjà entreprises par le Gestionnaire pour pallier les déficiences constatées, ainsi que celles qu’il s’est engagé à mettre en place. [original (French)] On 29 April 2022, the CSSF imposed an administrative fine amounting to EUR 163,134 in total on the investment fund manager LRI Invest 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 (the Law of 2013”). The administrative fine is composed of: - an amount of EUR 131,239 imposed pursuant to Article 148(4)(e) of the Law of 2010, and taking into account Article 149a of the said law. This part of the administrative fine was imposed on the basis of Article 148(2)(g) and (j) of the Law of 2010 for failure to comply with the provisions of Article 109(1)(a) and Article 110(1)(f) of the Law of 2010; and - an amount of EUR 31,895 imposed pursuant to Article 51(2) of the Law of 2013. This part of the administrative fine was imposed on the basis of Article 51(1) of the Law of 2013 for failure to comply with the provisions of Article 11(1)(a), Article 17(8), and Article 18(1)(f) of the Law of 2013. The administrative fine is the result of an on-site inspection carried out by the CSSF to the Manager during which were identified some isolated failures to comply with: - the provisions of the Law of 2010 relating to general principles surrounding organisational requirements and the requirements with regards to the delegation of functions; and - the provisions of the Law of 2013 relating to the requirements with regards to portfolio management, the valuation function and the requirements with regards to the delegation of functions. In determining the amount of the administrative fine, the CSSF has duly taken into consideration the remedial actions already undertaken by the Manager in order to address the deficiencies identified, as well as those the Manager is committed to implementing.

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn10992)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  10992

• In forceCommission de Surveillance du Secteur Financier (CSSF)

  UCITS

  In this state since

  12 Sept 2026

  Designated

  29 Apr 2022

  Reason given

  En date du 29 avril 2022, la CSSF a prononcé une amende d’ordre d’un montant total de 163.134 EUR à l’encontre du gestionnaire de fonds d'investissement LRI Invest S.A. (le « Gestionnaire »), soumis aux dispositions du chapitre 15 de la loi modifiée du 17 décembre 2010 concernant les organismes de placement collectif (la « Loi de 2010 ») 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 (la « Loi de 2013 »). Cette amende d’ordre se compose : - d'un montant de 131.239 EUR imposé en application des dispositions de l'article 148, paragraphe 4, point e) de la Loi de 2010, et tenant compte des dispositions de l'article 149bis de cette loi. Ce volet de l’amende d’ordre a été prononcé sur la base des dispositions de l'article 148, paragraphe 2, points g) et j), de la Loi de 2010 en raison de manquements aux dispositions de l’article 109, paragraphe 1, point a), et de l’article 110, paragraphe 1, point f), de la Loi de 2010 ; et - d’un montant de 31.895 EUR imposé en application des dispositions de l'article 51, paragraphe 2, de la Loi de 2013. Ce volet de l’amende d’ordre a été prononcé sur la base des dispositions de l'article 51, paragraphe 1), de la Loi de 2013 en raison de manquements aux dispositions de l'article 11, paragraphe 1, point a), de l'article 17, paragraphe 8), et de l'article 18, paragraphe 1, point f), de la Loi de 2013. Cette amende d’ordre fait suite à un contrôle sur place effectué par la CSSF auprès du Gestionnaire durant lequel ont été mis en évidence certains manquements ponctuels : - aux dispositions de la Loi de 2010 relatives aux principes généraux entourant les exigences organisationnelles ainsi que les exigences en matière de délégation de fonctions; et - aux dispositions de la Loi de 2013 relatives aux exigences en matière de gestion de portefeuille, à la fonction d'évaluation et aux exigences en matière de délégation de fonctions. Afin de déterminer le montant de l’amende d’ordre, la CSSF a dûment pris en considération les actions correctrices déjà entreprises par le Gestionnaire pour pallier les déficiences constatées, ainsi que celles qu’il s’est engagé à mettre en place. [original (French)] On 29 April 2022, the CSSF imposed an administrative fine amounting to EUR 163,134 in total on the investment fund manager LRI Invest 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 (the Law of 2013”). The administrative fine is composed of: - an amount of EUR 131,239 imposed pursuant to Article 148(4)(e) of the Law of 2010, and taking into account Article 149a of the said law. This part of the administrative fine was imposed on the basis of Article 148(2)(g) and (j) of the Law of 2010 for failure to comply with the provisions of Article 109(1)(a) and Article 110(1)(f) of the Law of 2010; and - an amount of EUR 31,895 imposed pursuant to Article 51(2) of the Law of 2013. This part of the administrative fine was imposed on the basis of Article 51(1) of the Law of 2013 for failure to comply with the provisions of Article 11(1)(a), Article 17(8), and Article 18(1)(f) of the Law of 2013. The administrative fine is the result of an on-site inspection carried out by the CSSF to the Manager during which were identified some isolated failures to comply with: - the provisions of the Law of 2010 relating to general principles surrounding organisational requirements and the requirements with regards to the delegation of functions; and - the provisions of the Law of 2013 relating to the requirements with regards to portfolio management, the valuation function and the requirements with regards to the delegation of functions. In determining the amount of the administrative fine, the CSSF has duly taken into consideration the remedial actions already undertaken by the Manager in order to address the deficiencies identified, as well as those the Manager is committed to implementing.

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn10992)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  10992

No ownership verdict was on file for this company on 25 October 2026.

As recorded by the assessment reading taken on 12 September 2026, 19:15 UTC, the newest on or before the date. Only “checked, not found” means a source was read in full and held nothing for the company.

Where the company is registered or connected

• LU: registered here

  No company register for this jurisdiction has been connected to this system, and none has been examined. No register here states who owns its companies.

• 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.

For each source behind this file, the newest read made on or before the date: the version of it that stood.

• ESMA Sanctions Register

  Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here. 845 records read.

Taken

12 September 2026, 19:15 UTC

Methodology

Version 4

Level

Medium

Score recorded

65 of 100

Digest

b3283cfd763103bcbde3da09204c732bc28bec2cA fingerprint of everything the reading says. The same reading always has this digest, and any change in it gives another.

Reading id

f0a43a72-25c5-4dd5-ba06-70b48439d77a

Address

https://apolika.com/entities/3973fb30-50d6-419f-9f24-dc5f9dfc407c/evidence?as_of=2026-10-25The same address gives the same day's file tomorrow. What was recorded after the date is not in it.

As data

https://apolika.com/api/entities/3973fb30-50d6-419f-9f24-dc5f9dfc407c/evidence?as_of=2026-10-25T00%3A48%3A06.256Z

Made

25 October 2026, 00:48 UTC