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Disclosures under the Investment Firms Act (WPFG)

In order to ensure transparency as well as to improve the working of the internal market, Directive (EU) 2019/2034 (“IFD”) obliges the competent authorities to disclose certain information. The published information is intended to permit a meaningful comparison of the approaches adopted by the competent authorities of the different Member States.

In Austria, the Investment Firms Act (WPFG; Wertpapierfirmengesetz), published in Federal Law Gazette I No. 237/2022, transposes the FMA’s obligations as the competent authority. The FMA duly meets its statutory disclosure obligation by means of the information below.

The disclosure obligations are specified by Implementing Regulation (EU) No 2022/389. On the basis of a draft by the European Banking Authority (“EBA”) in cooperation with the European Securities and Markets Authority (“ESMA”), the European Commission defines the format, structure, contents list and annual publication date of the information to be disclosed by the competent authorities in this regulation.

Further information on “Options and discretions”

  1. Individual data for each competent authority
  2. Data on market risks
  3. Data on supervisory measures and administrative penalties
  4. Data on waivers

Further information on “Aggregated statistical data”