FRS Financial Services GmbH

• LiftedAustrian Financial Market Authority (FMA)

  Debarment

  In this state since

  12 Sept 2026

  Designated

  28 Nov 2025

  Reason given

  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. [original (German)] Announcement: 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.

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14517)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  14517

• In forceAustrian Financial Market Authority (FMA)

  MiFID

  In this state since

  12 Sept 2026

  Designated

  28 Nov 2025

  Reason given

  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. [original (German)] Announcement: 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.

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14517)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  14517

No ownership verdict was on file for this company on 24 October 2026.

As recorded by the assessment reading taken on 12 September 2026, 19:15 UTC, the newest on or before the date. Only “checked, not found” means a source was read in full and held nothing for the company.

Where the company is registered or connected

• AT: registered here

  No company register for this jurisdiction has been connected to this system, and none has been examined. No register here states who owns its companies.

• 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.

For each source behind this file, the newest read made on or before the date: the version of it that stood.

• ESMA Sanctions Register

  Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here. 845 records read.

Taken

12 September 2026, 19:15 UTC

Methodology

Version 4

Level

Medium

Score recorded

65 of 100

Digest

19a91d91f6728335398a9d11ff4f6d4a01847821A fingerprint of everything the reading says. The same reading always has this digest, and any change in it gives another.

Reading id

d66b0374-ce33-4c39-b422-4424685af97c

Address

https://apolika.com/entities/5beba34c-8b27-40e0-ba2e-269d7b0355c4/evidence?as_of=2026-10-24The same address gives the same day's file tomorrow. What was recorded after the date is not in it.

As data

https://apolika.com/api/entities/5beba34c-8b27-40e0-ba2e-269d7b0355c4/evidence?as_of=2026-10-24T21%3A42%3A47.443Z

Made

24 October 2026, 21:42 UTC