Apolitics · https://apolika.com
Evidence file
Swiss Life Select Österreich GmbH
What this system held and said about the company on 24 October 2026, as of the moment the file was made, and what it rested on. Made on 24 October 2026, 19:27 UTC.
- listings in force
- 3
- ownership verdicts
- 0
- source with its version
- 1
- limits stated
- 2
Listings
- LiftedAustrian Financial Market Authority (FMA)
Debarment
- In this state since
- 12 Sept 2026
- Designated
- 5 May 2023
- Reason given
- Bekanntmachung: FMA verhängt Sanktion gegen verantwortliche Personen der Swiss Life Select Österreich GmbH wegen Verstoß gegen das Wertpapieraufsichtsgesetz (WAG 2018) Österreichs Finanzmarktaufsicht FMA teilt mit, dass das Bundesverwaltungsgericht die Straferkenntnisse der FMA gegen verantwortliche Personen der Swiss Life Select Österreich GmbH wegen Verstoß gegen Vorschriften des WAG 2018 in Zusammenhang mit Informationspflichten gegenüber Kunden bestätigt und Geldstrafen in Höhe von jeweils 2.380 Euro verhängt hat. Die ordentliche Revision wurde für nicht zulässig erklärt. Die Straferkenntnisse sind rechtskräftig. [original (German)] Announcement: FMA imposes sanction against the persons responsible of Swiss Life Select Österreich GmbH for a breach against the Securities Supervision Act (WAG 2018) The Austrian Financial Market Authority (FMA) hereby announces that the Federal Administrative Court (BVwG; Bundesverwaltungsgericht) has upheld the penal orders imposed by the FMA against the persons responsible of Swiss Life Select Österreich GmbH for a breach against the regulations of the Securities Supervision Act 2018 (WAG 2018; Wertpapieraufsichtsgesetz 2018) in relation to information requirements towards clients, and has imposed fines against them of EUR 2,380 respectively. The orderly final right of appeal was declared not to be permissible. The penal orders are final.
- Document
- The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12565)
- Stated by
- ESMA Sanctions Register
- First recorded here
- 12 Sept 2026
- Listing id
- 12565
- LiftedAustrian Financial Market Authority (FMA)
Debarment
- In this state since
- 12 Sept 2026
- Designated
- 5 May 2023
- Reason given
- Bekanntmachung: FMA verhängt Sanktion gegen verantwortliche Personen der Swiss Life Select Österreich GmbH wegen Verstoß gegen das Wertpapieraufsichtsgesetz (WAG 2018) Österreichs Finanzmarktaufsicht FMA teilt mit, dass das Bundesverwaltungsgericht die Straferkenntnisse der FMA gegen verantwortliche Personen der Swiss Life Select Österreich GmbH wegen Verstoß gegen Vorschriften des WAG 2018 in Zusammenhang mit Informationspflichten gegenüber Kunden bestätigt und Geldstrafen in Höhe von jeweils 2.380 Euro verhängt hat. Die ordentliche Revision wurde für nicht zulässig erklärt. Die Straferkenntnisse sind rechtskräftig. [original (German)] Announcement: FMA imposes sanction against the persons responsible of Swiss Life Select Österreich GmbH for a breach against the Securities Supervision Act (WAG 2018) The Austrian Financial Market Authority (FMA) hereby announces that the Federal Administrative Court (BVwG; Bundesverwaltungsgericht) has upheld the penal orders imposed by the FMA against the persons responsible of Swiss Life Select Österreich GmbH for a breach against the regulations of the Securities Supervision Act 2018 (WAG 2018; Wertpapieraufsichtsgesetz 2018) in relation to information requirements towards clients, and has imposed fines against them of EUR 2,380 respectively. The orderly final right of appeal was declared not to be permissible. The penal orders are final.
- Document
- The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12566)
- Stated by
- ESMA Sanctions Register
- First recorded here
- 12 Sept 2026
- Listing id
- 12566
- LiftedAustrian Financial Market Authority (FMA)
Debarment
- In this state since
- 12 Sept 2026
- Designated
- 15 Oct 2024
- Reason given
- Bekanntmachung: FMA verhängt Sanktion gegen die Swiss Life Select Österreich GmbH als Rechtsnachfolgerin der Select INVESTMENT GmbH wegen Verletzung von Vorschriften des Wertpapieraufsichtsgesetzes 2018 Österreichs Finanzmarktaufsichtsbehörde FMA hat gegen die Swiss Life Select Österreich GmbH als Rechtsnachfolgerin der Select INVESTMENT GmbH eine Geldstrafe von 16.100 Euro verhängt. Es handelt sich um eine beschleunigte Verfahrensbeendigung gemäß § 22 Abs. 2b Finanzmarktaufsichtsbehördengesetz (FMABG). Grund sind Verstöße der Select INVESTMENT GmbH gegen das Wertpapieraufsichtsgesetz 2018 (WAG 2018) und die Delegierte Verordnung (EU) 2017/565 zur Ergänzung der Richtlinie 2014/65/EU (MiFID II). Zum einen hat die Select INVESTMENT GmbH bei einer Mitarbeiterüberlassung gegen Dokumentationspflichten verstoßen. Zum anderen hat sie bei einem Kunden nicht im bestmöglichen Kundeninteresse gehandelt. Das Straferkenntnis ist rechtskräftig. [original (German)] Announcement: FMA imposes sanction on Swiss Life Select Österreich GmbH as the legal successor of Select INVESTMENT GmbH for breaches of regulations under the Securities Supervision Act 2018 The Austrian Financial Market Authority (FMA) has imposed a fine of EUR 16,100 on Swiss Life Select Österreich GmbH as the legal successor of Select INVESTMENT GmbH. Proceedings were concluded under the accelerated conclusion of proceedings pursuant to Article 22 para. 2b of the Financial Market Authority Act (FMABG; Finanzmarktaufsichtsbehördengesetz. The sanction is due to breaches by Select INVESTMENT GmbH of the Securities Supervision Act 2018 (WAG 2018; Wertpapieraufsichtsgesetz 2018) and the Delegated Regulation (EU) 2017/565 supplementing Directive 2014/65/EU (MiFID II). Firstly Select INVESTMENT GmbH breached documentation obligations in the case of a employee being posted to a third party. Secondly, in the case of one client, it failed to act in the client’s best interests. The penal order is final.
- Document
- The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn13314)
- Stated by
- ESMA Sanctions Register
- First recorded here
- 12 Sept 2026
- Listing id
- 13314
- In forceAustrian Financial Market Authority (FMA)
MiFID
- In this state since
- 12 Sept 2026
- Designated
- 5 May 2023
- Reason given
- Bekanntmachung: FMA verhängt Sanktion gegen verantwortliche Personen der Swiss Life Select Österreich GmbH wegen Verstoß gegen das Wertpapieraufsichtsgesetz (WAG 2018) Österreichs Finanzmarktaufsicht FMA teilt mit, dass das Bundesverwaltungsgericht die Straferkenntnisse der FMA gegen verantwortliche Personen der Swiss Life Select Österreich GmbH wegen Verstoß gegen Vorschriften des WAG 2018 in Zusammenhang mit Informationspflichten gegenüber Kunden bestätigt und Geldstrafen in Höhe von jeweils 2.380 Euro verhängt hat. Die ordentliche Revision wurde für nicht zulässig erklärt. Die Straferkenntnisse sind rechtskräftig. [original (German)] Announcement: FMA imposes sanction against the persons responsible of Swiss Life Select Österreich GmbH for a breach against the Securities Supervision Act (WAG 2018) The Austrian Financial Market Authority (FMA) hereby announces that the Federal Administrative Court (BVwG; Bundesverwaltungsgericht) has upheld the penal orders imposed by the FMA against the persons responsible of Swiss Life Select Österreich GmbH for a breach against the regulations of the Securities Supervision Act 2018 (WAG 2018; Wertpapieraufsichtsgesetz 2018) in relation to information requirements towards clients, and has imposed fines against them of EUR 2,380 respectively. The orderly final right of appeal was declared not to be permissible. The penal orders are final.
- Document
- The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12565)
- Stated by
- ESMA Sanctions Register
- First recorded here
- 12 Sept 2026
- Listing id
- 12565
- In forceAustrian Financial Market Authority (FMA)
MiFID
- In this state since
- 12 Sept 2026
- Designated
- 5 May 2023
- Reason given
- Bekanntmachung: FMA verhängt Sanktion gegen verantwortliche Personen der Swiss Life Select Österreich GmbH wegen Verstoß gegen das Wertpapieraufsichtsgesetz (WAG 2018) Österreichs Finanzmarktaufsicht FMA teilt mit, dass das Bundesverwaltungsgericht die Straferkenntnisse der FMA gegen verantwortliche Personen der Swiss Life Select Österreich GmbH wegen Verstoß gegen Vorschriften des WAG 2018 in Zusammenhang mit Informationspflichten gegenüber Kunden bestätigt und Geldstrafen in Höhe von jeweils 2.380 Euro verhängt hat. Die ordentliche Revision wurde für nicht zulässig erklärt. Die Straferkenntnisse sind rechtskräftig. [original (German)] Announcement: FMA imposes sanction against the persons responsible of Swiss Life Select Österreich GmbH for a breach against the Securities Supervision Act (WAG 2018) The Austrian Financial Market Authority (FMA) hereby announces that the Federal Administrative Court (BVwG; Bundesverwaltungsgericht) has upheld the penal orders imposed by the FMA against the persons responsible of Swiss Life Select Österreich GmbH for a breach against the regulations of the Securities Supervision Act 2018 (WAG 2018; Wertpapieraufsichtsgesetz 2018) in relation to information requirements towards clients, and has imposed fines against them of EUR 2,380 respectively. The orderly final right of appeal was declared not to be permissible. The penal orders are final.
- Document
- The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12566)
- Stated by
- ESMA Sanctions Register
- First recorded here
- 12 Sept 2026
- Listing id
- 12566
- In forceAustrian Financial Market Authority (FMA)
MiFID
- In this state since
- 12 Sept 2026
- Designated
- 15 Oct 2024
- Reason given
- Bekanntmachung: FMA verhängt Sanktion gegen die Swiss Life Select Österreich GmbH als Rechtsnachfolgerin der Select INVESTMENT GmbH wegen Verletzung von Vorschriften des Wertpapieraufsichtsgesetzes 2018 Österreichs Finanzmarktaufsichtsbehörde FMA hat gegen die Swiss Life Select Österreich GmbH als Rechtsnachfolgerin der Select INVESTMENT GmbH eine Geldstrafe von 16.100 Euro verhängt. Es handelt sich um eine beschleunigte Verfahrensbeendigung gemäß § 22 Abs. 2b Finanzmarktaufsichtsbehördengesetz (FMABG). Grund sind Verstöße der Select INVESTMENT GmbH gegen das Wertpapieraufsichtsgesetz 2018 (WAG 2018) und die Delegierte Verordnung (EU) 2017/565 zur Ergänzung der Richtlinie 2014/65/EU (MiFID II). Zum einen hat die Select INVESTMENT GmbH bei einer Mitarbeiterüberlassung gegen Dokumentationspflichten verstoßen. Zum anderen hat sie bei einem Kunden nicht im bestmöglichen Kundeninteresse gehandelt. Das Straferkenntnis ist rechtskräftig. [original (German)] Announcement: FMA imposes sanction on Swiss Life Select Österreich GmbH as the legal successor of Select INVESTMENT GmbH for breaches of regulations under the Securities Supervision Act 2018 The Austrian Financial Market Authority (FMA) has imposed a fine of EUR 16,100 on Swiss Life Select Österreich GmbH as the legal successor of Select INVESTMENT GmbH. Proceedings were concluded under the accelerated conclusion of proceedings pursuant to Article 22 para. 2b of the Financial Market Authority Act (FMABG; Finanzmarktaufsichtsbehördengesetz. The sanction is due to breaches by Select INVESTMENT GmbH of the Securities Supervision Act 2018 (WAG 2018; Wertpapieraufsichtsgesetz 2018) and the Delegated Regulation (EU) 2017/565 supplementing Directive 2014/65/EU (MiFID II). Firstly Select INVESTMENT GmbH breached documentation obligations in the case of a employee being posted to a third party. Secondly, in the case of one client, it failed to act in the client’s best interests. The penal order is final.
- Document
- The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn13314)
- Stated by
- ESMA Sanctions Register
- First recorded here
- 12 Sept 2026
- Listing id
- 13314
Ownership verdicts
No ownership verdict was on file for this company on 24 October 2026.
What was checked
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.
Sanctions lists
Found · 1 source. The source holds records for this company.
- ESMA Sanctions Register, checked 12 Sept 2026
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.
What this file cannot say
- 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.
What sources said
Legal name
swiss life select osterreich
ESMA Sanctions Register, since 12 Sept 2026, last confirmed by the date on 23 Oct 2026.
swiss life select osterreich
ESMA Sanctions Register, since 12 Sept 2026, last confirmed by the date on 23 Oct 2026.
swiss life select osterreich
ESMA Sanctions Register, since 12 Sept 2026, last confirmed by the date on 23 Oct 2026.
Registered identifier
LEI 529900H7MAUMIUFGDV91
ESMA Sanctions Register, since 12 Sept 2026, last confirmed by the date on 23 Oct 2026.
LEI 529900H7MAUMIUFGDV91
ESMA Sanctions Register, since 12 Sept 2026, last confirmed by the date on 23 Oct 2026.
LEI 529900H7MAUMIUFGDV91
ESMA Sanctions Register, since 12 Sept 2026, last confirmed by the date on 23 Oct 2026.
Jurisdiction
AT
ESMA Sanctions Register, since 12 Sept 2026, last confirmed by the date on 23 Oct 2026.
AT
ESMA Sanctions Register, since 12 Sept 2026, last confirmed by the date on 23 Oct 2026.
AT
ESMA Sanctions Register, since 12 Sept 2026, last confirmed by the date on 23 Oct 2026.
Versions of the sources
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.
The assessment reading
- Taken
- 12 September 2026, 19:15 UTC
- Methodology
- Version 4
- Level
- Medium
- Score recorded
- 65 of 100
- Digest
0040c08319f16f76663bab8096ffbc6ca968d59aA fingerprint of everything the reading says. The same reading always has this digest, and any change in it gives another.- Reading id
87c3cf59-7575-42db-84e2-0cde3e6b4fff
This file
- Address
- https://apolika.com/entities/68a17a37-864a-42ba-9a90-01c1b46c9cd1/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.
- Made
- 24 October 2026, 19:27 UTC