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Whistleblower-System

Cross-sectoral topics

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The Financial Market Authority is not only responsible for the supervisor of the financial market players, but also has additional competences and powers. These include, on the one hand, the supervision of compliance with conduct supervision rules and compliance provisions in the Stock Exchange Act (BörseG – Börsegesetz) and the Securities Supervision Act 2007 (WAG 2007 – Wertpapieraufsichtsgesetz 2007), and on the other hand extend to the supervision of compliance with preventive provisions relating to the prevention of money laundering and terrorist financing.

Furthermore, the FMA also has special investigative powers with regard to the prevention of unauthorised business, and is established as the accounting control authority for reviewing the financial reporting of Austrian issuers. In addition, the FMA also monitors the usage of ratings for regulatory purposes within its supervisory activities.