Natural persons and legal entities intending to provide investment services on a commercial basis pursuant to Article 3 para. 2 of the 2018 Austrian Securities Supervision Act (WAG 2018; Wertpapieraufsichtsgesetz 2018), are required to submit an application to the FMA to have a licence granted. The following information for licence applicants serves as useful guidance for applications for issues relating to the correctness and completeness of the content submitted in the application. Furthermore, the information also provides a general overview of the investment services that require a licence and respective licencing requirements.
The forms, declarations and information should also be considered with regard to the submission of the licence application.
Please note that all official correspondence, including applications, are standardly conducted in German.
Below are the links to the following documents (in German only):
General information for applicants for licences is currently being revised. For legal enquiries about business models, please use the dedicated contact forms (in German only).