{"kind":"evidence_file","company":{"id":"7a72959a-54d7-4e89-ad8e-48ff3783d9d4","name":"Liechtensteinische Landesbank (Österreich) AG","mergedInto":null},"asOf":"2026-10-24T19:50:11.934Z","asOfBasis":"instant","generatedAt":"2026-10-24T20:39:29.472Z","claims":[{"predicate":"name","value":"liechtensteinische landesbank (osterreich) ag","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn15199","observedAt":"2026-09-12T19:09:09.451Z","confirmedAt":"2026-10-23T12:00:21.021Z","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":"sn15199","observedAt":"2026-09-12T19:09:09.455Z","confirmedAt":"2026-10-23T12:00:21.025Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"15199","regime":"Austrian Financial Market Authority (FMA)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:09:09.469Z","designatedAt":"2026-08-20T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen die Liechtensteinische Landesbank (Österreich) AG wegen Verletzungen von Organisationsvorschriften Österreichs Finanzmarktaufsichtsbehörde FMA hat gegen die Liechtensteinische Landesbank (Österreich) AG eine Geldstrafe von 244.000 Euro verhängt. Grund sind Verstöße gegen das Wertpapieraufsichtsgesetz 2018 (WAG 2018) in Verbindung mit Vorschriften der Delegierten Verordnung (EU) 2017/565. Konkret hat die Liechtensteinische Landesbank (Österreich) AG unterlassen, angemessene Strategien und Verfahren zur Empfehlung geeigneter Wertpapierdienstleistungen und Finanzinstrumente an Kunden festzulegen. Sie hat weiters unterlassen, angemessene Strategien und Verfahren zur Schulung für die Abgabe einer rechtskonformen Geeignetheitserklärung festzulegen. Das Straferkenntnis ist nicht rechtskräftig.\n\n[original (German)]\n\nAnnouncement: FMA imposes sanction on Liechtensteinische Landesbank (Österreich) AG for breaches of organisational rules The Austrian Financial Market Authority (FMA) has imposed a fine of EUR 244,000 against Liechtensteinische Landesbank (Österreich) AG. The reason is for breaches against the Securities Supervision Act 2018 (WAG 2018; Wertpapieraufsichtsgesetz 2018) in conjunction with rules set out in Delegated Regulation (EU) 2017/565. Liechtensteinische Landesbank (Österreich) AG specifically omitted to determine appropriate policies and procedures for the recommendations of suitable investment services and financial instruments to clients. In addition, it also omitted to determine appropriate training policies and procedures for submission of a legally compliant suitability statement. The penal order is not final.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn15199","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"15199","regime":"Austrian Financial Market Authority (FMA)","program":"MiFID","state":"in_force","stateSince":"2026-09-12T19:14:37.219Z","recordedAt":"2026-09-12T19:14:37.219Z","designatedAt":"2026-08-20T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen die Liechtensteinische Landesbank (Österreich) AG wegen Verletzungen von Organisationsvorschriften Österreichs Finanzmarktaufsichtsbehörde FMA hat gegen die Liechtensteinische Landesbank (Österreich) AG eine Geldstrafe von 244.000 Euro verhängt. Grund sind Verstöße gegen das Wertpapieraufsichtsgesetz 2018 (WAG 2018) in Verbindung mit Vorschriften der Delegierten Verordnung (EU) 2017/565. Konkret hat die Liechtensteinische Landesbank (Österreich) AG unterlassen, angemessene Strategien und Verfahren zur Empfehlung geeigneter Wertpapierdienstleistungen und Finanzinstrumente an Kunden festzulegen. Sie hat weiters unterlassen, angemessene Strategien und Verfahren zur Schulung für die Abgabe einer rechtskonformen Geeignetheitserklärung festzulegen. Das Straferkenntnis ist nicht rechtskräftig. Aktualisierung vom 28.09.2026 Die Liechtensteinische Landesbank (Österreich) AG hat Beschwerde gegen das Straferkenntnis der FMA an das Bundesverwaltungsgericht (BVwG) erhoben.\n\n[original (German)]\n\nAnnouncement: FMA imposes sanction on Liechtensteinische Landesbank (Österreich) AG for breaches of organisational rules The Austrian Financial Market Authority (FMA) has imposed a fine of EUR 244,000 against Liechtensteinische Landesbank (Österreich) AG. The reason is for breaches against the Securities Supervision Act 2018 (WAG 2018; Wertpapieraufsichtsgesetz 2018) in conjunction with rules set out in Delegated Regulation (EU) 2017/565. Liechtensteinische Landesbank (Österreich) AG specifically omitted to determine appropriate policies and procedures for the recommendations of suitable investment services and financial instruments to clients. In addition, it also omitted to determine appropriate training policies and procedures for submission of a legally compliant suitability statement. The penal order is not final. Update: 28.09.2026 Liechtensteinische Landesbank (Österreich) AG has lodged an appeal with the Federal Administrative Court (BVwG; Bundesverwaltungsgericht) against the FMA’s penal order.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn15199","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":"28c6e68e-2617-4bb5-ae29-3bf9a1cf2a13","takenAt":"2026-09-12T19:15:06.433Z","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."]}