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Sanction details

Sanction

Sanction legal framework: UCITS
Member state: AUSTRIA
Sanctioning authority: Austrian Financial Market Authority (FMA)
Sanction nature: Administrative sanction and measure
Sanction date: 12/02/2020
Sanction expiration date: 12/02/2025
Sanctioned entity name: KEPLER-FONDS Kapitalanlagegesellschaft m.b.H.
Sanctioned entity legal framework: UCITS
Sanctioned entity LEI
Free Text 1 (German): Bekanntmachung: FMA verhängt Sanktion gegen die KEPLER-FONDS Kapitalanlagegesellschaft m.b.H. wegen Verstoßes gegen das Investmentfondsgesetz 2011 Österreichs Finanzmarktaufsicht FMA teilt mit, dass sie wegen Verletzung von Organisationsvorschriften und Dokumentationsvorschriften im Zusammenhang mit Vergütungsregelungen gegen die KEPLER-FONDS Kapitalanlagegesellschaft m.b.H. als juristische Person im Wege der beschleunigten Verfahrensbeendigung gemäß § 22 Abs 2b Finanzmarktaufsichtsbehördengesetz (FMABG) mittels Straferkenntnis eine Geldstrafe von EUR 32.000,- verhängt hat.
Free Text 2 (English): Announcement: FMA imposes sanction against KEPLER-FONDS Kapitalanlagegesellschaft m.b.H. for a breach of the Investment Funds Act 2011 (InvFG 2011) The Austrian Financial Market Authority (FMA) hereby announces that it has imposed a fine of EUR 32,000.00 by means of a penal order against KEPLER-FONDS Kapitalanlagegesell-schaft m.b.H. as a legal person by way of the accelerated conclusion of proceedings pursu-ant to Article 22 para. 2b of the Financial Market Authority Act (FMABG; Finanzmarktauf-sichtsbehördengesetz) for a breach of organisational rules and documentation rules in con-junction with remuneration rules. The penal order is final.
Last update: 27/02/2020

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