{"kind":"evidence_file","company":{"id":"698d0b3d-9996-43df-ae9e-d63a45134cdd","name":"Walser Raiffeisen Bank Aktiengesellschaft","mergedInto":null},"asOf":"2026-10-24T19:24:37.948Z","asOfBasis":"instant","generatedAt":"2026-10-25T18:33:37.357Z","claims":[{"predicate":"name","value":"walser raiffeisen bank","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn10502","observedAt":"2026-09-12T19:05:09.225Z","confirmedAt":"2026-10-23T12:00:06.925Z","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":"sn10502","observedAt":"2026-09-12T19:05:09.233Z","confirmedAt":"2026-10-23T12:00:06.929Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"10502","regime":"Austrian Financial Market Authority (FMA)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:05:09.255Z","designatedAt":"2021-11-16T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen die Walser Privatbank Aktiengesellschaft wegen Verletzung von Organisationsvorschriften sowie Berichtspflichten gegenüber Kunden Österreichs Finanzmarktaufsicht FMA teilt mit, dass sie wegen Verstößen gegen das Wertpapieraufsichtsgesetz 2018 (WAG 2018) und die Delegierte Verordnung (EU) 2017/565 durch Verletzung von Organisationsvorschriften sowie Berichtspflichten im Zusammenhang mit der Erbringung von Portfolioverwaltungsdienstleistungen gegenüber Kunden gegen die Walser Privatbank Aktiengesellschaft als juristische Person im Wege der beschleunigten Verfahrensbeendigung gemäß § 22 Absatz 2b Finanzmarktaufsichtsbehördengesetz (FMABG) mittels Straferkenntnis eine Geldstrafe von Euro 20.000,- verhängt hat. Das Straferkenntnis ist rechtskräftig.\n\n[original (German)]\n\nAnnouncement: FMA imposes sanction against Walser Privatbank Aktiengesellschaft for a breach of organisational rules as well as reporting obligations towards customers The Austrian Financial Market Authority (FMA) hereby announced that it has imposed a fine of Euro 20,000.00 against Walser Privatbank Aktiengesellschaft 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)) for breaches against the Securities Supervision Act 2018 (WAG 2018; Wertpapieraufsichtsgesetz 2018) and Delegated Regulation (EU) 2017/565 for a breach of organisational rules as well as reporting obligations in conjunction with the provision of portfolio management services towards customers. The penal order is final","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn10502","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"10502","regime":"Austrian Financial Market Authority (FMA)","program":"MiFID","state":"in_force","stateSince":"2026-09-12T19:14:23.243Z","recordedAt":"2026-09-12T19:14:23.243Z","designatedAt":"2021-11-16T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen die Walser Privatbank Aktiengesellschaft wegen Verletzung von Organisationsvorschriften sowie Berichtspflichten gegenüber Kunden Österreichs Finanzmarktaufsicht FMA teilt mit, dass sie wegen Verstößen gegen das Wertpapieraufsichtsgesetz 2018 (WAG 2018) und die Delegierte Verordnung (EU) 2017/565 durch Verletzung von Organisationsvorschriften sowie Berichtspflichten im Zusammenhang mit der Erbringung von Portfolioverwaltungsdienstleistungen gegenüber Kunden gegen die Walser Privatbank Aktiengesellschaft als juristische Person im Wege der beschleunigten Verfahrensbeendigung gemäß § 22 Absatz 2b Finanzmarktaufsichtsbehördengesetz (FMABG) mittels Straferkenntnis eine Geldstrafe von Euro 20.000,- verhängt hat. Das Straferkenntnis ist rechtskräftig.\n\n[original (German)]\n\nAnnouncement: FMA imposes sanction against Walser Privatbank Aktiengesellschaft for a breach of organisational rules as well as reporting obligations towards customers The Austrian Financial Market Authority (FMA) hereby announced that it has imposed a fine of Euro 20,000.00 against Walser Privatbank Aktiengesellschaft 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)) for breaches against the Securities Supervision Act 2018 (WAG 2018; Wertpapieraufsichtsgesetz 2018) and Delegated Regulation (EU) 2017/565 for a breach of organisational rules as well as reporting obligations in conjunction with the provision of portfolio management services towards customers. The penal order is final","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn10502","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":"8a3d5a24-dae4-44aa-8430-3aabf6d4bf8f","takenAt":"2026-09-12T19:15:05.711Z","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."]}