Aggregated News From Investment Management Regulators

Austria

Announcement: FMA imposes a sanction against S Immo AG for delayed publication of a proprietary transaction

The Austrian Financial Market Authority (FMA) hereby announces that it has imposed a fine of EUR 16,000.00 by means of a penal order under the accelerated conclusion of proceedings pursuant to Article 22 para. 2b of the Financial Market Authority Act (FMABG; Finanzmarktaufsichtsbehördengesetz) against S Immo AG as a legal person for a breach of the Market Abuse Regulation (MAR, Regulation (EU) 596/2014) for the delayed publication of a proprietary transaction. The penal order is legally final. This news item was originally published by the Financial Market Authority (FMA AT). For more information, please see the Source Link.

BankDeFx LTD

Attention! The FMA warns investors against concluding transactions with: BankDeFx LTD https://bankdefx.com/ [email protected] [email protected] [email protected] [email protected] This provider is not authorised to carry out banking transactions in Austria that require a licence. The provider is therefore neither permitted to trade on a commercial basis on its own account or on behalf of others (Article 1 para. 1 no. 7 of the Austrian Banking Act (BWG; Bankwesengesetz)). The basis for this publication is Article 4 para. 7 of the Austrian Banking Act (BWG; Bankwesengesetz) and was also published in the “Amtsblatt zur Wiener Zeitung” (The Official Gazette of the Wiener Zeitung) on 22.07.2021. This news item was originally published by the Financial Market...

Repealing of the recommendation to financial service providers to refrain from paying dividends in light of the economic challenges caused by COVID-19.

The banking supervision authorities of the European Union, which cooperate in the Single Supervisory Mechanism (SSM) under the European Central Bank’s (ECB) lead, have decided, based on the most recently conducted macroeconomic analyses as well as economic forecasts, to repeal the recommendations to refrain from the distribution of dividends, share buybacks as well as variable remuneration with effect from 30 September 2021. In the interest of ensuring fair competitive conditions in the Austrian financial and capital market on a cross-sectoral basis, the FMA will also repeal the restrictions on distributions it has also extended to cover other financial service...

Announcement: FMA imposes sanction against BNP Paribas Asset Management Holding S.A. and BNP Paribas Asset Management France S.A.S for breaches against the Stock Exchange...

The Austrian Financial Market Authority (FMA) hereby announces that it has imposed fines by way of penal orders of EUR160,000 respectively against BNP Paribas Asset Management Holding S.A. as well as BNP Paribas Asset Management France S.A.S as legal persons by way of the accelerated conclusion of proceedings pursuant to Article 22 para. 2b of the Financial Market Authority Act (FMABG; Finanzmarktaufsichtsbehördengesetz) for the delayed notification of the 4 % threshold being exceeded for participations in relation to shares of an issuer. The aforementioned undertakings omitted to notify the respective participation threshold having been exceeded in a timely manner to the...

Uni-Coins

Attention! The FMA warns investors against concluding transactions with: Uni-Coins with its registered address apparently in 1230 Vienna Web: https://uni-coins.global E-Mail: [email protected] [email protected] [email protected] [email protected] (Link to external page. Opens in new window.) This provider is not authorised to carry out banking transactions in Austria that require a licence. Therefore the acceptance of funds from other parties on a commercial basis for management purposes (Article 1 para. 1 no. 1 first case of the Austrian Banking Act (BWG; Bankwesengesetz)) is not allowed. The basis for this publication is Article 4 para. 7 of the Austrian Banking Act (BWG; Bankwesengesetz) and was also published in the “Amtsblatt zur Wiener Zeitung” (The Official Gazette of the...

FMA Study on “The market for state-sponsored retirement provision in 2020”: market continues to contract significantly. Investment performance negative.

The market for state-sponsored retirement provision (PZV; prämienbegünstigte Zukunftsvorsorge), a product for discretionary old age provision, has constantly developed negatively since the state premium was cut significantly in 2012, as well as due to the its unattractive investment performance in the low interest environment. The number of PZV contracts has since fallen from just over 1.6 million to its current level of just over 1 million. In 2020 only 12,000 new contracts were concluded (2019: 14,000) a fall of 15.9 % compared to the previous year. At the same time 79,000 contracts matured. Since the PZV is a product...

HF and Company Ltd or HF Global Management Ltd

Attention! The FMA warns investors against concluding transactions with: HF and Company Ltd or HF Global Management Ltd Apparent headquarters: The Seychelles or Sofia, Bulgaria Web: https://worldstocks.co E-Mail: [email protected] [email protected] (Link to external page. Opens in new window.) This provider is not authorised to carry out banking transactions in Austria that require a licence. The provider is therefore neither permitted to trade on a commercial basis on its own account or on behalf of others (Article 1 para. 1 no. 7 of the Austrian Banking Act (BWG; Bankwesengesetz)). The basis for this publication is Article 4 para. 7 of the Austrian Banking Act (BWG; Bankwesengesetz) and was also published in the “Amtsblatt...

EffortWe Global Limited

Attention! The FMA warns investors against concluding transactions with: EffortWe Global Limited https://www.effortwe365.com/ (Link to external page. Opens in new window.) This provider is not authorised to carry out banking transactions in Austria that require a licence. The provider is therefore neither permitted to trade on a commercial basis on its own account or on behalf of others (Article 1 para. 1 no. 7 of the Austrian Banking Act (BWG; Bankwesengesetz)). The basis for this publication is Article 4 para. 7 of the Austrian Banking Act (BWG; Bankwesengesetz) and was also published in the “Amtsblatt zur Wiener Zeitung” (The Official Gazette of the Wiener Zeitung) on 13.07.2021. This news item...

Announcement: FMA imposes a sanction against Wiener Privatbank SE for a breach against due diligence obligations for the prevention of money laundering and terrorist...

The Austrian Financial Market Authority (FMA) hereby announces that it has imposed a fine of EUR 154,000 against Wiener Privatbank SE as a legal entity by means of a penal order for a breach against the Financial Markets Anti-Money Laundering Act (FM-GwG; Finanzmarkt-Geldwäschegesetz) for failure to identify and verify the identity of all owners of a customer in the highest risk category. The penal order is final. This news item was originally published by the Financial Market Authority (FMA AT). For more information, please see the Source Link.

Glare Markets

Attention! The FMA warns investors against concluding transactions with: Glare Markets Web: https://glaremarkets.com E-Mail: [email protected] [email protected] (Link to external page. Opens in new window.) This provider is not authorised to carry out banking transactions in Austria that require a licence. The provider is therefore neither permitted to trade on a commercial basis on its own account or on behalf of others (Article 1 para. 1 no. 7 of the Austrian Banking Act (BWG; Bankwesengesetz)). The basis for this publication is Article 4 para. 7 of the Austrian Banking Act (BWG; Bankwesengesetz) and was also published in the “Amtsblatt zur Wiener Zeitung” (The Official Gazette of the Wiener Zeitung) on 13.07.2021. This news...

IPM Systematic Macro Fund (Ireland), an investment compartment of the IPM Global Fund plc umbrella fund

The Austrian Financial Market Authority (FMA) announces pursuant to Article 31 para. 4 in conjunction with Article 50 para. 2 no. 5 of the Alternative Investment Fund Managers Act (AIFMG; Alternative Investmentfonds Manager-Gesetz), published in Federal Law Gazette I No. 135/2013 as amended, that it has prohibited the further marketing in Austria of units in the foreign alternative investment fund (AIF) “IPM Systematic Macro Fund (Ireland)”, an investment compartment of the “IPM Global Fund plc” umbrella fund, which is managed by the alternative investment fund manager (AIFM) “IPM Informed Portfolio Managment AB”. This news item was originally published by the...

MCP Private Capital Fund IV SCSp and MCP Private Capital (Feeder) Fund IV SCSp

The Austrian Financial Market Authority (FMA) announces pursuant to Article 31 para. 4 in conjunction with Article 50 para. 2 no. 5 of the Alternative Investment Fund Managers Act (AIFMG; Alternative Investmentfonds Manager-Gesetz), published in Federal Law Gazette I No. 135/2013 as amended, that it has prohibited the further marketing in Austria of units in the foreign alternative investment fund (AIFs) “MCP Private Capital Fund IV SCSp” and “MCP Private Capital (Feeder) Fund IV SCSp”, which are managed by the alternative investment fund manager (AIFM) “Mirabella Malta Limited”. This news item was originally published by the Financial Market Authority (FMA...

Regulator Information

Regulator Name: Financial Market Authority
Abbreviation: FMA
Jurisdiction: Austria

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