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Whistleblower-System

Compliance

Strengthening the stability and capability of Austria as a financial centre, and creating and maintaining the long term confidence of market participants in the functioning of the capital market represent the key objectives of the FMA. As a supervisory authority, the FMA must pursue these aims in a consistent and sustainable manner, integrating all the forces at its disposal. Just like the members of the Executive Board and the Supervisory Board, each individual employee makes a tangible contribution to achieving these objectives through their own personal performance and conduct.

In carrying out its supervisory activities, the FMA also monitors the compliance of credit institutions, investment firms, investment service providers, issuers, insurance undertakings and Pensionskassen. In relation to this and in an awareness that maintaining confidence in the Austrian financial market depends on factors that include meeting its responsibilities in terms of the way it conducts its own business, the FMA has developed a Compliance Code that ensures that the bodies and employees of the FMA conduct themselves both ethically and legally, but that also serves to protect them.

Compliance Code

The FMA expects that the people who work on its behalf act with integrity and with responsibility. It relies on their ability to determine what course of action is not compatible with the tasks of a supervisory authority. The current Compliance Code, which is based on international standards and the current Directive 2003/6/EC of the European Parliament and of the Council of 28 January 2003 on insider dealing and market manipulation (market abuse), enshrines in writing the core principles that must be taken into account both in the conclusion of legal transactions and in conduct in relations with the general public.

Further information

Contact

Dietmar Wagner

Compliance-Officer of the FMA
Phone: (+43-1) 249 59-6112
compliance@fma.gv.at