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Sanction details

Sanction

Sanction legal framework: MiFID
Member state: AUSTRIA
Sanctioning authority: Austrian Financial Market Authority (FMA)
Sanction nature: Administrative sanction
Sanction date: 10/11/2020
Sanction expiration date: 10/11/2025
Sanctioned entity name: Oberbank AG
Sanctioned entity legal framework: MiFID (IF)
Sanctioned entity LEI
Free Text 1 (German): Bekanntmachung: FMA verhängt Sanktion gegen die Oberbank AG wegen Verletzung von Organisationsvorschriften im Zusammenhang mit Aufzeichnungspflichten Österreichs Finanzmarktaufsicht FMA teilt mit, dass sie wegen eines Verstoßes gegen das Wertpapieraufsichtsgesetz 2018 (WAG 2018) und die Delegierte Verordnung (EU) 2017/565 durch eine Verletzung von Organisationsvorschriften im Zusammenhang mit Aufzeichnungspflichten gegen die Oberbank AG als juristische Person im Wege der beschleunigten Verfahrensbeendigung gemäß § 22 Abs 2b Finanzmarktaufsichtsbehördengesetz (FMABG) mittels Straferkenntnis eine Geldstrafe von EUR 64.000,- verhängt hat. Das Straferkenntnis ist rechtskräftig.
Free Text 2 (English): Announcement: FMA imposes sanction against Oberbank AG for a breach of organisational rules in relation to record-keeping obligations The Austrian Financial Market Authority (FMA) hereby advises that it has imposed a fine of EUR 64,000.00 against Oberbank AG as a legal person by way of the accelerated conclusion of proceedings pursuant to Article 22 para. 2b of the Financial Market Authority Act (FMABG; Finanzmarktaufsichtsbehördengesetz) by means of a penal order for a breach of the Securities Supervision Act 2018 (WAG 2018; Wertpapieraufsichtsgesetz 2018) and Delegated Regulation (EU) 2017/565 in relation to a breach of organisational rules in relation to the record-keeping obligations. The penal order is final.
Last update: 24/11/2020

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