Liechtensteinische Landesbank (Österreich) AG

• LiftedAustrian Financial Market Authority (FMA)

  Debarment

  In this state since

  12 Sept 2026

  Designated

  20 Aug 2026

  Reason given

  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. [original (German)] Announcement: 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.

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn15199)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  15199

• In forceAustrian Financial Market Authority (FMA)

  MiFID

  In this state since

  12 Sept 2026

  Designated

  20 Aug 2026

  Reason given

  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. [original (German)] Announcement: 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.

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn15199)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  15199

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

28c6e68e-2617-4bb5-ae29-3bf9a1cf2a13

Address

https://apolika.com/entities/7a72959a-54d7-4e89-ad8e-48ff3783d9d4/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/7a72959a-54d7-4e89-ad8e-48ff3783d9d4/evidence?as_of=2026-10-24T19%3A50%3A11.934Z

Made

24 October 2026, 19:50 UTC