Austria
8 regulators · 16 laws & regulations · 11 obligations · 4 enforcement actions
| Date | Entity | Regulator | Action | Penalty | Source | Summary |
|---|---|---|---|---|---|---|
| 12 Oct 2026 | Natural person (not named): business partner of an issuer (individual) | FMA | Monetary Penalty | €5,000 | official | |
A business partner of an issuer, not named, was fined for giving unlicensed investment advice on financial instruments: clients were advised to dissolve their financial investments and buy financial instruments instead. The FMA states the decision is not final (nicht rechtskräftig). |
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| 16 Sep 2026 | TiH GmbH (company) | FMA | Business Restriction | — | official | |
By decision of 27.08.2026, published on 16 September 2026, the FMA ordered TiH GmbH (Amstetten) to stop managing an alternative investment fund without authorisation. No fine amount or finality statement appears on the page. The date shown is the publication date. |
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| 1 Sep 2026 | Liechtensteinische Landesbank (Österreich) AG (bank) | FMA | Monetary Penalty | €244,000 | official | |
The bank had no adequate procedures for recommending suitable securities services and instruments, nor for training staff to issue compliant suitability statements. It appealed to the Federal Administrative Court (BVwG), per an update of 28 September 2026, so the decision is not final. |
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| 21 Aug 2026 | Raiffeisenverband Salzburg eGen (bank) | FMA | Monetary Penalty | €159,000 | official | |
Investment advice and portfolio management decisions did not suit clients' sustainability preferences, and some clients did not receive timely, complete ex-ante cost information. The bank appealed to the Federal Administrative Court (BVwG) on 9 September 2026, so the decision is not final. |
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| No enforcement actions match these filters. | ||||||