{"kind":"evidence_file","company":{"id":"5beba34c-8b27-40e0-ba2e-269d7b0355c4","name":"FRS Financial Services GmbH","mergedInto":null},"asOf":"2026-10-24T21:42:47.443Z","asOfBasis":"instant","generatedAt":"2026-10-25T09:24:37.521Z","claims":[{"predicate":"name","value":"frs financial services","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn14517","observedAt":"2026-09-12T19:08:46.676Z","confirmedAt":"2026-10-23T12:00:19.332Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"primary_country","value":"AT","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn14517","observedAt":"2026-09-12T19:08:46.680Z","confirmedAt":"2026-10-23T12:00:19.335Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"14517","regime":"Austrian Financial Market Authority (FMA)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:08:46.691Z","designatedAt":"2025-11-28T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen Wertpapierfirma wegen Verstoßes gegen das Wertpapieraufsichtsgesetz Veröffentlichungsdatum:17. Dezember 2025 | Kategorien:Sanktion Die österreichische Finanzmarktaufsichtsbehörde FMA teilt mit, dass sie gegen eine Wertpapierfirma wegen Verstoß gegen Dokumentationspflichten nach § 33 Absatz 1 Wertpapieraufsichtsgesetz 2018 (WAG 2018) eine Geldstrafe in Höhe von 16.000 Euro im Wege der beschleunigten Verfahrensbeendigung gemäß § 22 Absatz 2b Finanzmarktaufsichtsbehördengesetz (FMABG) verhängt hat. Die Wertpapierfirma hat es unterlassen, die Gründe für die Investitionsentscheidungen im Rahmen der individuellen Portfolioverwaltung zu dokumentieren. Das Straferkenntnis ist rechtskräftig.\n\n[original (German)]\n\nAnnouncement: FMA imposes a sanction against an investment firm for a breach of the Securities Supervision Act 2018 (WAG 2018) The Austrian Financial Market Authority (FMA) announced that it has imposed a fine of EUR 16,000 by way of the accelerated conclusion of proceedings pursuant to Article 22 para. 2b of the Financial Market Authority Act (FMABG; Finanzmarktaufsichtsbehördengesetz) against an investment firm for a breach of the documentation obligations in accordance with Article 33 para. 1 Securities Supervision Act 2018 (WAG 2018; Wertpapieraufsichtsgesetz 2018). The investment firm failed to document the reasons for investment decisions within the scope of individual portfolio management. The penal order is final.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14517","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"14517","regime":"Austrian Financial Market Authority (FMA)","program":"MiFID","state":"in_force","stateSince":"2026-09-12T19:14:35.606Z","recordedAt":"2026-09-12T19:14:35.606Z","designatedAt":"2025-11-28T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen Wertpapierfirma wegen Verstoßes gegen das Wertpapieraufsichtsgesetz Veröffentlichungsdatum:17. Dezember 2025 | Kategorien:Sanktion Die österreichische Finanzmarktaufsichtsbehörde FMA teilt mit, dass sie gegen eine Wertpapierfirma wegen Verstoß gegen Dokumentationspflichten nach § 33 Absatz 1 Wertpapieraufsichtsgesetz 2018 (WAG 2018) eine Geldstrafe in Höhe von 16.000 Euro im Wege der beschleunigten Verfahrensbeendigung gemäß § 22 Absatz 2b Finanzmarktaufsichtsbehördengesetz (FMABG) verhängt hat. Die Wertpapierfirma hat es unterlassen, die Gründe für die Investitionsentscheidungen im Rahmen der individuellen Portfolioverwaltung zu dokumentieren. Das Straferkenntnis ist rechtskräftig.\n\n[original (German)]\n\nAnnouncement: FMA imposes a sanction against an investment firm for a breach of the Securities Supervision Act 2018 (WAG 2018) The Austrian Financial Market Authority (FMA) announced that it has imposed a fine of EUR 16,000 by way of the accelerated conclusion of proceedings pursuant to Article 22 para. 2b of the Financial Market Authority Act (FMABG; Finanzmarktaufsichtsbehördengesetz) against an investment firm for a breach of the documentation obligations in accordance with Article 33 para. 1 Securities Supervision Act 2018 (WAG 2018; Wertpapieraufsichtsgesetz 2018). The investment firm failed to document the reasons for investment decisions within the scope of individual portfolio management. The penal order is final.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14517","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"}],"ownership":[],"lists":[{"source":"ESMA Sanctions Register","readAt":"2026-10-23T12:00:38.517Z","recordsRead":845,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here."}],"reading":{"assessmentId":"d66b0374-ce33-4c39-b422-4424685af97c","takenAt":"2026-09-12T19:15:05.084Z","methodology":"v4","level":"medium","overall":65,"digest":"19a91d91f6728335398a9d11ff4f6d4a01847821","coverage":{"dimensions":[{"counts":{"found":1},"sources":[{"name":"ESMA Sanctions Register","status":"found","attemptedAt":"2026-09-12T19:14:40.601Z"}],"dimension":"sanctions"}],"jurisdictions":[{"gap":"No company register for this jurisdiction has been connected to this system, and none has been examined.","reasons":["registered here"],"countryId":"AT","registers":[]}]},"ownership":null},"limits":["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."]}