{"kind":"evidence_file","company":{"id":"93347b50-dcd8-4dbf-bcbe-c0f9da54cbad","name":"Raiffeisenverband Salzburg eGen","mergedInto":null},"asOf":"2026-10-24T19:12:49.442Z","asOfBasis":"instant","generatedAt":"2026-10-25T18:32:56.206Z","claims":[{"predicate":"name","value":"raiffeisenverband salzburg egen","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn12845","observedAt":"2026-09-12T19:06:06.399Z","confirmedAt":"2026-10-23T12:00:08.761Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"name","value":"raiffeisenverband salzburg egen","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn15177","observedAt":"2026-09-25T17:45:15.540Z","confirmedAt":"2026-10-23T12:00:20.998Z","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":"sn12845","observedAt":"2026-09-12T19:06:06.405Z","confirmedAt":"2026-10-23T12:00:08.764Z","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":"sn15177","observedAt":"2026-09-25T17:45:15.542Z","confirmedAt":"2026-10-23T12:00:21.001Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"12845","regime":"Austrian Financial Market Authority (FMA)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:06:06.428Z","designatedAt":"2024-04-11T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen die Raiffeisenverband Salzburg eGen wegen Verletzung von Organisationsvorschriften im Zusammenhang mit Aufzeichnungspflichten Österreichs Finanzmarktaufsichtsbehörde FMA teilt mit, dass sie im Wege der beschleunigten Verfahrensbeendigung gemäß § 22 Absatz 2b Finanzmarktaufsichtsbehördengesetz (FMABG) gegen die Raiffeisenverband Salzburg eGen als juristische Person wegen Verstoß gegen das Wertpapieraufsichtsgesetz 2018 (WAG 2018) und die Delegierte Verordnung (EU) 2017/565 durch Verletzung von Organisationsvorschriften im Zusammenhang mit Aufzeichnungspflichten relevanter Informationen in Bezug auf maßgebliche Kundengespräche auf einem dauerhaften Datenträger eine Geldstrafe von 46.800 Euro verhängt hat. Das Straferkenntnis ist rechtskräftig.\n\n[original (German)]\n\nAnnouncement: FMA imposes sanction against Raiffeisenverband Salzburg eGen for breaching organisational rules in relation to record-keeping obligations The Austrian Financial Market Authority (FMA) announces that it has imposed a fine of EUR 46,800 against Raiffeisenverband Salzburg eGen as a legal person for a breach against the Securities Supervision Act 2018 (WAG 2018; Wertpapieraufsichtsgesetz 2018) and Delegated Regulation (EU) 2017/565 for breaching organisational rules in relation to record-keeping obligations for relevant information in relation to relevant client meetings on a durable medium by way of the accelerated conclusion of proceedings pursuant to Article 22 para. 2b of the Financial Market Authority Act (FMABG; Finanzmarktaufsichtsbehördengesetz). The penal order is final.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12845","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"15177","regime":"Austrian Financial Market Authority (FMA)","program":"Debarment","state":"in_force","stateSince":"2026-09-12T19:09:09.538Z","recordedAt":"2026-09-12T19:09:09.538Z","designatedAt":"2026-08-04T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen die Raiffeisenverband Salzburg eGen wegen Verletzungen von Organisationsvorschriften Österreichs Finanzmarktaufsichtsbehörde (FMA) hat gegen die Raiffeisenverband Salzburg eGen eine Geldstrafe von 159.000 Euro verhängt. Grund sind Verstöße gegen das Wertpapieraufsichtsgesetz 2018 (WAG 2018) in Verbindung mit Vorschriften der Delegierten Verordnung (EU) 2017/565. Konkret hat Raiffeisenverband Salzburg eGen bei der Erbringung der Anlageberatung Empfehlungen ausgesprochen sowie bei der Portfolioverwaltung Handelsentscheidungen getroffen, die nicht für ihre Kunden im Hinblick auf deren Nachhaltigkeitspräferenzen entsprechend geeignet waren. Sie hat weiters unterlassen, einem Teil ihrer Kunden angemessene Informationen zu sämtlichen Kosten und damit verbundenen Gebühren rechtzeitig zur Verfügung zu stellen (Ex-ante Kostenausweis). Das Straferkenntnis ist nicht rechtskräftig. Aktualisierung 09.09.2026 Die Raiffeisenverband Salzburg eGen hat Beschwerde gegen das Straferkenntnis der FMA an das Bundesverwaltungsgericht (BVwG) erhoben.\n\n[original (German)]\n\nAnnouncement: FMA imposes sanction on Raiffeisenverband Salzburg eGen for breaches of organisational rules The Austrian Financial Market Authority (FMA) has imposed a fine of EUR 159,000 against Raiffeisenverband Salzburg eGen. The reason is for breaches against the Securities Supervision Act 2018 (WAG 2018; Wertpapieraufsichtsgesetz 2018) in conjunction with with rules set out in Delegated Regulation (EU) 2017/565. Specifically, Raiffeisenverband Salzburg eGen made recommendations when providing investment advice as well as making trading decisions in its portfolio management that were not suitable for its clients based on their sustainability preferences. In addition, it omitted to make appropriate information available to some of its customers about all charges and associated fees in a timely manner (ex-ante statement of costs). The penal order is not final. Update: 09.09.2026 Raiffeisenverband Salzburg eGen has lodged an appeal to 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=sn15177","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"12845","regime":"Austrian Financial Market Authority (FMA)","program":"MiFID","state":"in_force","stateSince":"2026-09-12T19:14:24.992Z","recordedAt":"2026-09-12T19:14:24.992Z","designatedAt":"2024-04-11T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen die Raiffeisenverband Salzburg eGen wegen Verletzung von Organisationsvorschriften im Zusammenhang mit Aufzeichnungspflichten Österreichs Finanzmarktaufsichtsbehörde FMA teilt mit, dass sie im Wege der beschleunigten Verfahrensbeendigung gemäß § 22 Absatz 2b Finanzmarktaufsichtsbehördengesetz (FMABG) gegen die Raiffeisenverband Salzburg eGen als juristische Person wegen Verstoß gegen das Wertpapieraufsichtsgesetz 2018 (WAG 2018) und die Delegierte Verordnung (EU) 2017/565 durch Verletzung von Organisationsvorschriften im Zusammenhang mit Aufzeichnungspflichten relevanter Informationen in Bezug auf maßgebliche Kundengespräche auf einem dauerhaften Datenträger eine Geldstrafe von 46.800 Euro verhängt hat. Das Straferkenntnis ist rechtskräftig.\n\n[original (German)]\n\nAnnouncement: FMA imposes sanction against Raiffeisenverband Salzburg eGen for breaching organisational rules in relation to record-keeping obligations The Austrian Financial Market Authority (FMA) announces that it has imposed a fine of EUR 46,800 against Raiffeisenverband Salzburg eGen as a legal person for a breach against the Securities Supervision Act 2018 (WAG 2018; Wertpapieraufsichtsgesetz 2018) and Delegated Regulation (EU) 2017/565 for breaching organisational rules in relation to record-keeping obligations for relevant information in relation to relevant client meetings on a durable medium by way of the accelerated conclusion of proceedings pursuant to Article 22 para. 2b of the Financial Market Authority Act (FMABG; Finanzmarktaufsichtsbehördengesetz). The penal order is final.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12845","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"15177","regime":"Austrian Financial Market Authority (FMA)","program":"MiFID","state":"in_force","stateSince":"2026-09-12T19:14:37.270Z","recordedAt":"2026-09-12T19:14:37.270Z","designatedAt":"2026-08-04T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Bekanntmachung: FMA verhängt Sanktion gegen die Raiffeisenverband Salzburg eGen wegen Verletzungen von Organisationsvorschriften Österreichs Finanzmarktaufsichtsbehörde (FMA) hat gegen die Raiffeisenverband Salzburg eGen eine Geldstrafe von 159.000 Euro verhängt. Grund sind Verstöße gegen das Wertpapieraufsichtsgesetz 2018 (WAG 2018) in Verbindung mit Vorschriften der Delegierten Verordnung (EU) 2017/565. Konkret hat Raiffeisenverband Salzburg eGen bei der Erbringung der Anlageberatung Empfehlungen ausgesprochen sowie bei der Portfolioverwaltung Handelsentscheidungen getroffen, die nicht für ihre Kunden im Hinblick auf deren Nachhaltigkeitspräferenzen entsprechend geeignet waren. Sie hat weiters unterlassen, einem Teil ihrer Kunden angemessene Informationen zu sämtlichen Kosten und damit verbundenen Gebühren rechtzeitig zur Verfügung zu stellen (Ex-ante Kostenausweis). Das Straferkenntnis ist nicht rechtskräftig. Aktualisierung 09.09.2026 Die Raiffeisenverband Salzburg eGen hat Beschwerde gegen das Straferkenntnis der FMA an das Bundesverwaltungsgericht (BVwG) erhoben.\n\n[original (German)]\n\nAnnouncement: FMA imposes sanction on Raiffeisenverband Salzburg eGen for breaches of organisational rules The Austrian Financial Market Authority (FMA) has imposed a fine of EUR 159,000 against Raiffeisenverband Salzburg eGen. The reason is for breaches against the Securities Supervision Act 2018 (WAG 2018; Wertpapieraufsichtsgesetz 2018) in conjunction with with rules set out in Delegated Regulation (EU) 2017/565. Specifically, Raiffeisenverband Salzburg eGen made recommendations when providing investment advice as well as making trading decisions in its portfolio management that were not suitable for its clients based on their sustainability preferences. In addition, it omitted to make appropriate information available to some of its customers about all charges and associated fees in a timely manner (ex-ante statement of costs). The penal order is not final. Update: 09.09.2026 Raiffeisenverband Salzburg eGen has lodged an appeal to 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=sn15177","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"}],"ownership":[],"lists":[{"source":"Australia DFAT Consolidated List","readAt":"2026-10-19T06:31:20.009Z","recordsRead":3650,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 19 October 2026. 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No date from the publisher is read for this file, so its age is not known here."},{"source":"Brazil TCU (firms declared inidôneas)","readAt":"2026-10-22T12:30:23.053Z","recordsRead":94,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 22 October 2026. No date from the publisher is read for this file, so its age is not known here."},{"source":"Canada Consolidated Autonomous Sanctions List","readAt":"2026-10-19T06:01:52.829Z","recordsRead":5708,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 19 October 2026. 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Findings)","status":"not_found","attemptedAt":"2026-09-22T13:45:17.365Z","listDatedAt":null,"listDateBasis":null},{"name":"US UFLPA Entity List","status":"not_found","attemptedAt":"2026-09-22T11:15:15.192Z","listDatedAt":null,"listDateBasis":null},{"name":"World Bank Listing of Ineligible Firms and Individuals","status":"not_found","attemptedAt":"2026-09-24T20:00:47.882Z","listDatedAt":null,"listDateBasis":null}],"dimension":"debarment"}],"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":[],"ownershipGap":"No register here states who owns this jurisdiction's companies, so an ownership chain reaching one stops.","ownershipRegisters":[]}]},"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."]}