FMA Regulations

Disclaimer

All English translation of the authentic German text is unofficial and serves merely information purposes. The official wording in German can be found at the web pages of the Austrian Financial Market Authority (FMA). All translations have been prepared with great care, but linguistic compromises had to be made. The reader should also bear in mind that some content of soft law like Minimum Standards, Circulars, Rules of Conduct and Compliance und Supervisory Disclosure will remain unclear without certain background knowledge of the Austrian legal and political system. Please note that both the authentic German and the translated text may be amended in future and check occasionally for updates.

Table: FMA Regulations
Title	Code	Category
Online Identification Regulation (Online-Identifikationsverordnung – Online-IDV) Show description: Online Identification Regulation (Online-Identifikationsverordnung – Online-IDV) Description for: Online Identification Regulation (Online-Identifikationsverordnung – Online-IDV) Full Title: Regulation of the Financial Market Authority (FMA) on video-based online identification of customers (Online Identification Regulation – Online-IDV; Online-Identifikationsverordnung) This English language version includes all amendments up to and including the amendment published in Federal Law Gazette II 265/2021	Online-IDV	Banks Prevention of Money Laundering & Terrorism Funding Regulations COVID-19 Regulations
Capital Buffer Regulation 2021 (Kapitalpuffer-Verordnung 2021 – KP-V 2021) Show description: Capital Buffer Regulation 2021 (Kapitalpuffer-Verordnung 2021 – KP-V 2021) Description for: Capital Buffer Regulation 2021 (Kapitalpuffer-Verordnung 2021 – KP-V 2021) Full title: Regulation of the Financial Market Authority (FMA) on the identification and recognition of the capital buffer requirements for the countercyclical capital buffer, for systemically important institutions and for the systemic risk buffer (KP-V 2021; Kapitalpuffer-Verordnung 2021)	KP-V 2021	Banks Regulations
Regulation of the Financial Market Authority (FMA) on Electronic Submission (FMA Regulation on the Incoming Platform - FMA-IPV; FMA-Incoming-Plattformverordnung) Show description: Regulation of the Financial Market Authority (FMA) on Electronic Submission (FMA Regulation on the Incoming Platform - FMA-IPV; FMA-Incoming-Plattformverordnung) Description for: Regulation of the Financial Market Authority (FMA) on Electronic Submission (FMA Regulation on the Incoming Platform - FMA-IPV; FMA-Incoming-Plattformverordnung) Full Title: Regulation of the Financial Market Authority (FMA) on Electronic Submission (FMA Regulation on the Incoming Platform - FMA-IPV; FMA-Incoming-Plattformverordnung) This English language version includes all amendments up to and including the amendment published in Federal Law Gazette II 585/2020	FMA-IPV	Banks Financial Service Providers Pension Companies Insurance Undertakings AIFs UCITS Regulations Payment Institutions Deposit Guarantee Schemes
CRR Supplementary Regulation (CRR-Begleitverordnung – CRR-BV) Show description: CRR Supplementary Regulation (CRR-Begleitverordnung – CRR-BV) Description for: CRR Supplementary Regulation (CRR-Begleitverordnung – CRR-BV) This English language version includes all amendments up to and including the amendment published in Federal Law Gazette II 584/2020	CRR-BV	Banks Regulations
Life Insurance Information Requirements Regulation 2018 (LV-InfoV 2018) Show description: Life Insurance Information Requirements Regulation 2018 (LV-InfoV 2018) Description for: Life Insurance Information Requirements Regulation 2018 (LV-InfoV 2018) This English language version includes all amendments up to and including the amendment published in Federal Law Gazette II 227/2020	LV-InfoV 2018	Insurance Undertakings Regulations COVID-19 Regulations
Maximum Interest Rate Regulation for Insurance Undertakings (VU-HZV; Versicherungsunternehmen-Höchstzinssatzverordnung) Show description: Maximum Interest Rate Regulation for Insurance Undertakings (VU-HZV; Versicherungsunternehmen-Höchstzinssatzverordnung) Description for: Maximum Interest Rate Regulation for Insurance Undertakings (VU-HZV; Versicherungsunternehmen-Höchstzinssatzverordnung) Full title: Regulation of the Financial Market Authority (FMA) determining a maximum interest rate for the calculation of the technical provisions in life insurance (Maximum Interest Rate Regulation for Insurance Undertakings – VU-HZV; Versicherungsunternehmen-Höchstzinssatzverordnung) This English language version includes all amendments up to and including the amendment published in Federal Law Gazette II 186/2020	VU-HZV	Insurance Undertakings Regulations
FMA Cost Regulation 2016 (FMA-KVO 2016; FMA-Kostenverordnung 2016) Show description: FMA Cost Regulation 2016 (FMA-KVO 2016; FMA-Kostenverordnung 2016) Description for: FMA Cost Regulation 2016 (FMA-KVO 2016; FMA-Kostenverordnung 2016) Full Title: Regulation of the Financial Market Authority (FMA) about the Costs of the Financial Market Authority (FMA-KVO 2016; FMA-Kostenverordnung 2016) This English language version is a translation of the version of the Regulation amended in Federal Law Gazette II 181/2020.	FMA-KVO 2016	Banks Financial Service Providers Pension Companies Corporate Provision Funds Insurance Undertakings AIFs UCITS Stock Exchanges & Markets Regulations Financial Conglomerates Payment Institutions Deposit Guarantee Schemes
FMA Regulation on Burial Costs 2016 (Beerdigungskostenverordnung 2016) Show description: FMA Regulation on Burial Costs 2016 (Beerdigungskostenverordnung 2016) Description for: FMA Regulation on Burial Costs 2016 (Beerdigungskostenverordnung 2016) Full Title: Regulation of the Financial Market Authority (FMA) on the determination of a maximum amount for customary burial costs (Beerdigungskostenverordnung 2016) This English language version includes all amendments up to and including the amendment published in Federal Law Gazette II 161/2020	BGBl. II Nr. 161/2020	Insurance Undertakings Regulations
Regulation of the Financial Market Authority (FMA) on the restriction of short selling of certain financial instruments in an exceptional situation Show description: Regulation of the Financial Market Authority (FMA) on the restriction of short selling of certain financial instruments in an exceptional situation Description for: Regulation of the Financial Market Authority (FMA) on the restriction of short selling of certain financial instruments in an exceptional situation Translation includes the amendment published in Federal Law Gazette II 157/2020	BGBl. II Nr.157/2020	Banks Financial Service Providers Pension Companies Insurance Undertakings AIFs UCITS Stock Exchanges & Markets Regulations Payment Institutions COVID-19 Regulations
Regulation on Calculation Parameters for Pensionskassen (Pensionskassen-Rechnungsparameterverordnung – PK-RPV) Show description: Regulation on Calculation Parameters for Pensionskassen (Pensionskassen-Rechnungsparameterverordnung – PK-RPV) Description for: Regulation on Calculation Parameters for Pensionskassen (Pensionskassen-Rechnungsparameterverordnung – PK-RPV) This English language version is based on the original version of the Regulation published in Federal Law Gazette II 262/2019.	PK-RPV	Pension Companies Regulations
Regulation of the FMA on Product Intervention Measures (FMA-PIV; FMA-Produktinterventionsverordnung) Show description: Regulation of the FMA on Product Intervention Measures (FMA-PIV; FMA-Produktinterventionsverordnung) Description for: Regulation of the FMA on Product Intervention Measures (FMA-PIV; FMA-Produktinterventionsverordnung) This English language version is based on the original version of the Regulation published in Federal Law Gazette II 118/2019 including Annex 1.	FMA-PIV	Banks Financial Service Providers Insurance Undertakings AIFs UCITS Stock Exchanges & Markets Conduct & Compliance Regulations
Information Requirements Regulation for Pensionskassen (Pensionskassen Informationspflichtenverordnung – PK-InfoV) Show description: Information Requirements Regulation for Pensionskassen (Pensionskassen Informationspflichtenverordnung – PK-InfoV) Description for: Information Requirements Regulation for Pensionskassen (Pensionskassen Informationspflichtenverordnung – PK-InfoV) This English language version includes all amendments up to and including the amendment published in Federal Law Gazette II 337/2018	PK-InfoV	Pension Companies Regulations
Regulation on the Auditing Actuary’s Audit Report (PaktPBV; Prüfaktuar-Prüfberichtverordnung) Show description: Regulation on the Auditing Actuary’s Audit Report (PaktPBV; Prüfaktuar-Prüfberichtverordnung) Description for: Regulation on the Auditing Actuary’s Audit Report (PaktPBV; Prüfaktuar-Prüfberichtverordnung) This English language version includes all amendments upto and including the amendment published in Federal Law Gazette II 334/2018	PaktPBV	Pension Companies Regulations
Risk Management Regulation for Pensionskassen 2019 (PK-RiMaV 2019) Show description: Risk Management Regulation for Pensionskassen 2019 (PK-RiMaV 2019) Description for: Risk Management Regulation for Pensionskassen 2019 (PK-RiMaV 2019) Long Title: Regulation of the Financial Market Authority (FMA) on minimum standards for the risk management of Pensionskassen 2019 (PK-RiMaV 2019; Risk Management Regulation for Pensionskassen 2019) This English language version is based on the original version of the Regulation published in Federal Law Gazette II 331/2018.	PK-RiMaV 2019	Pension Companies Regulations
Regulation on Quarterly Financial Statements (QMV 2012; Quartalsmeldeverordnung 2012) Show description: Regulation on Quarterly Financial Statements (QMV 2012; Quartalsmeldeverordnung 2012) Description for: Regulation on Quarterly Financial Statements (QMV 2012; Quartalsmeldeverordnung 2012) This English language version includes all amendments upto and including the amendment published in Federal Law Gazette II 330/2018	QMV	Pension Companies Regulations
Information Requirements Regulation for Health Insurance (Krankenversicherung Informationspflichtenverordnung; KV-InfoV) Show description: Information Requirements Regulation for Health Insurance (Krankenversicherung Informationspflichtenverordnung; KV-InfoV) Description for: Information Requirements Regulation for Health Insurance (Krankenversicherung Informationspflichtenverordnung; KV-InfoV) This English language version includes all amendments up to and including the amendment published in Federal Law Gazette II 248/2018	KV-InfoV	Insurance Undertakings Regulations
Regulation on the Annex to the Audit Report (Anlage zum Prüfungsbericht - AP-VO)	AP-VO	Banks Regulations
Annex to the Regulation on the Annex to Audit Report - BGBl. II 196/2018 (Anlage zum Prüfungsbericht - AP-VO) Show description: Annex to the Regulation on the Annex to Audit Report - BGBl. II 196/2018 (Anlage zum Prüfungsbericht - AP-VO) Description for: Annex to the Regulation on the Annex to Audit Report - BGBl. II 196/2018 (Anlage zum Prüfungsbericht - AP-VO) This version of the Annex for the Annex to the Audit Report reflects the version that will be valid for submissions relating to financial years ending after 31 December 2018	AP-VO	Banks Regulations
Annexes to the Regulation on Qualifying Holdings 2016 (Eigentümerkontrollverordnung 2016 – EKV 2016) Show description: Annexes to the Regulation on Qualifying Holdings 2016 (Eigentümerkontrollverordnung 2016 – EKV 2016) Description for: Annexes to the Regulation on Qualifying Holdings 2016 (Eigentümerkontrollverordnung 2016 – EKV 2016) This English language version includes all amendments upto and including the amendment published in Federal Law Gazette II 195/2018	EKV 2016	Banks Insurance Undertakings Regulations Payment Institutions
Regulation on Qualifying Holdings 2016 (Eigentümerkontrollverordnung 2016 – EKV 2016) Show description: Regulation on Qualifying Holdings 2016 (Eigentümerkontrollverordnung 2016 – EKV 2016) Description for: Regulation on Qualifying Holdings 2016 (Eigentümerkontrollverordnung 2016 – EKV 2016) This English language version includes all amendments upto and including the amendment published in Federal Law Gazette II 195/2018	EKV 2016	Banks Insurance Undertakings Regulations Payment Institutions
Consumer Payment Account Services Regulation (VZKDV; Verbraucherzahlungskonto-Diensteverordnung) Show description: Consumer Payment Account Services Regulation (VZKDV; Verbraucherzahlungskonto-Diensteverordnung) Description for: Consumer Payment Account Services Regulation (VZKDV; Verbraucherzahlungskonto-Diensteverordnung) Full title Regulation of the Financial Market Authority (FMA) on the most representative services linked to the payment account as defined in the Consumer Payment Account Act (Consumer Payment Account Services Regulation (Verbraucherzahlungskonto-Diensteverordnung – VZKDV))	VZKDV	Banks Regulations
Commodities Derivatives Regulation (Warenderivateverordnung – WDV) Show description: Commodities Derivatives Regulation (Warenderivateverordnung – WDV) Description for: Commodities Derivatives Regulation (Warenderivateverordnung – WDV) This English language version is based on the original version of the Regulation published in Federal Law Gazette II 390/2017.	WDV	Stock Exchanges & Markets Regulations
Small Insurance Undertaking Investment Regulation (kleine Versicherungsunternehmen Kapitalanlageverordnung– kVU-KAV) Show description: Small Insurance Undertaking Investment Regulation (kleine Versicherungsunternehmen Kapitalanlageverordnung– kVU-KAV) Description for: Small Insurance Undertaking Investment Regulation (kleine Versicherungsunternehmen Kapitalanlageverordnung– kVU-KAV) This English language version includes all amendments upto and including the amendment published in Federal Law Gazette II 356/2017	kVU-KAV	Insurance Undertakings Regulations
Small Mutual Associations Investment Regulation (kleine Versicherungsvereine Kapitalanlageverordnung – kV-KAV) Show description: Small Mutual Associations Investment Regulation (kleine Versicherungsvereine Kapitalanlageverordnung – kV-KAV) Description for: Small Mutual Associations Investment Regulation (kleine Versicherungsvereine Kapitalanlageverordnung – kV-KAV) This English language version includes all amendments up to and including the amendment published in Federal Law Gazette II 355/2017	kV-KAV	Insurance Undertakings Regulations
Regulation on the Provision for Administrative Expenses 2013 (Verwaltungskostenrückstellungsverordnung - VKRStV 2013)	BGBl. II Nr. 92/2017	Pension Companies Regulations
Regulation on Due Diligence for Fiduciary Accounts (Anderkonten-Sorgfaltspflichtenverordnung – AndKo-SoV) Show description: Regulation on Due Diligence for Fiduciary Accounts (Anderkonten-Sorgfaltspflichtenverordnung – AndKo-SoV) Description for: Regulation on Due Diligence for Fiduciary Accounts (Anderkonten-Sorgfaltspflichtenverordnung – AndKo-SoV) Full Title: Regulation of the Financial Market Authority (FMA) on the applicability of simplified due diligence in relation to fiduciary accounts of attorneys, notaries or real estate managers (Regulation on Due Diligence for Fiduciary Accounts (AndKo-SoV – Anderkonten-Sorgfaltspflichtenverordnung))	AndKo-SoV	Banks Prevention of Money Laundering & Terrorism Funding Regulations
Corporate Provision Funds Risk Analysis and Due Diligence Regulation (BVK-Risikoanalyse- und Sorgfaltspflichtenverordnung – BVK-RiSoV) Show description: Corporate Provision Funds Risk Analysis and Due Diligence Regulation (BVK-Risikoanalyse- und Sorgfaltspflichtenverordnung – BVK-RiSoV) Description for: Corporate Provision Funds Risk Analysis and Due Diligence Regulation (BVK-Risikoanalyse- und Sorgfaltspflichtenverordnung – BVK-RiSoV) Full title: Regulation of the Financial Market Authority (FMA) on the exemption from the obligation to record a risk analysis and the applicability of simplified due diligence with regard to the operation of corporate provision funds (Corporate Provision Funds Risk Analysis and Due Diligence Regulation (BVK-RiSoV; BVK-Risikoanalyse- und Sorgfaltspflichtenverordnung))	BGBl II Nr. 4/2017	Corporate Provision Funds Prevention of Money Laundering & Terrorism Funding Regulations
Regulation on Savings Associations (Sparverein-Verordnung - SpVV) Show description: Regulation on Savings Associations (Sparverein-Verordnung - SpVV) Description for: Regulation on Savings Associations (Sparverein-Verordnung - SpVV) Full title: Regulation of the Financial Market Authority (FMA) concerning the identification of members of savings associations (Regulation on Savings Associations - SpVV; Sparvereinverordnung)	SpVV	Banks Regulations
School Savings Schemes Due Diligence Regulation (Schulsparen-Sorgfaltspflichtenverordnung – Schulspar-SoV) Show description: School Savings Schemes Due Diligence Regulation (Schulsparen-Sorgfaltspflichtenverordnung – Schulspar-SoV) Description for: School Savings Schemes Due Diligence Regulation (Schulsparen-Sorgfaltspflichtenverordnung – Schulspar-SoV) Full title: Regulation of the Financial Market Authority (FMA) on the applicability of simplified due diligence in relation to school savings schemes (School Savings Schemes Due Diligence Regulation; (SchulsparSoV – Schulsparen-Sorgfaltspflichtenverordnung))	BGBl II Nr. 2/2017	Banks Prevention of Money Laundering & Terrorism Funding Regulations
Life Insurance Due Diligence Regulation (Lebensversicherung-Sorgfaltspflichtenverordnung – LV-SoV) Show description: Life Insurance Due Diligence Regulation (Lebensversicherung-Sorgfaltspflichtenverordnung – LV-SoV) Description for: Life Insurance Due Diligence Regulation (Lebensversicherung-Sorgfaltspflichtenverordnung – LV-SoV) Full Title: Regulation of the Financial Market Authority (FMA) on the applicability of simplified due diligence in relation to life insurance (Life Insurance Due Diligence Regulation (Lebensversicherung-Sorgfaltspflichtenverordnung – LV-SoV))	LV-SoV	Insurance Undertakings Prevention of Money Laundering & Terrorism Funding Regulations
Deposit Guarantee Scheme Stress Test Regulation (Sicherungseinrichtungen-Stresstestverordnung – SiEi-StrV)	BGBl. II Nr. 370/2016	Regulations Deposit Guarantee Schemes
Annex to the Regulation of the Financial Market Authority (FMA) on Deposit Guarantee Scheme Stress Tests (Sicherungseinrichtungen-Stresstestverordnung – SiEi-StrV)	BGBl. II Nr. 370/2016	Regulations Deposit Guarantee Schemes
2016 Volatility Reserve Regulation (Schwankungsrückstellungs-Verordnung 2016 - SWRV 2016)	BGBl. Nr. II 324/2016	Insurance Undertakings Regulations
Annex to the Regulation of the Financial Market Authority (FMA) on Reporting by Deposit Guarantee Schemes (Sicherungseinrichtungen-Meldeverordnung - SiEi-MV)	BGBl. II Nr. 257/2016	Regulations Deposit Guarantee Schemes
Regulation of the Financial Market Authority (FMA) on Reporting by Deposit Guarantee Schemes (Sicherungseinrichtungen-Meldeverordnung - SiEi-MV)	BGBl. II Nr. 257/2016	Regulations Deposit Guarantee Schemes
Employee Categories and Verification Regulation (Mitarbeiterkategorien- und Nachweis-Verordnung – MiKaNa-V)	BGBl. II Nr. 151/2016	Banks Regulations
2016 Regulation on Forms and Annual Reports (Formblatt- und Jahresmeldeverordnung 2016 – FJMV 2016)	BGBl II Nr. 16/2016	Pension Companies Regulations
Insurance Undertakings Investment Regulation (Versicherungsunternehmen Kapitalanlageverordnung - VU-KAV)	BGBL II Nr. 423/2015	Insurance Undertakings Regulations
Regulation on Fees for Trustees of Insurance Undertakings (VU-TGV; Versicherungsunternehmen-Treuhändergebührverordnung)	BGBl. II Nr. 420/2015	Insurance Undertakings Regulations
Regulation on the Annex to the Audit Report for Deposit Guarantee Schemes (Sicherungseinrichtungen-APV – SiEi-APV)	BGBl. II Nr. 344/2015	Regulations Deposit Guarantee Schemes
Actuary’s Report Regulation for Insurance Undertakings (VU-AktBV; Versicherungsunternehmen-Aktuarsberichtsverordnung)	BGBl. II Nr. 300/2015	Insurance Undertakings Regulations
Additional Provisions Regulation for State-sponsored Retirement Provision (PZV-ZRV; Prämienbegünstigte Zukunftsvorsorge-Zusatzrückstellungs-Verordnung)	BGBl. II Nr. 297/2015	Insurance Undertakings Regulations
Life Insurance Profit Plan Regulation (Lebensversicherung Gewinnplanverordnung; LV-GPV) Show description: Life Insurance Profit Plan Regulation (Lebensversicherung Gewinnplanverordnung; LV-GPV) Description for: Life Insurance Profit Plan Regulation (Lebensversicherung Gewinnplanverordnung; LV-GPV) Full title: Regulation of the Financial Market Authority (FMA) on the content and structure of the profit plan in life insurance (Life Insurance Profit Plan Regulation – LV-GPV; Lebensversicherung Gewinnplanverordnung)	LV-GPV	Insurance Undertakings Regulations
Insurance Undertakings Deckungsstock List Regulation (VU VerzV; Versicherungsunternehmen Verzeichnisverordnung)	BGBl. II Nr. 218/2015	Insurance Undertakings Regulations
Insurance Undertakings Reporting Regulation (Versicherungsunternehmen Meldeverordnung; VU-MV) Annex to § 1 Complementary Identification Codes (CIC)	BGBl II Nr. 217/2015	Insurance Undertakings Regulations
Insurance Undertakings Reporting Regulation (Versicherungsunternehmen Meldeverordnung; VU-MV)	BGBl. II Nr. 217/2015	Insurance Undertakings Regulations
Information Requirements Regulation for Occupational Group Insurance (Betriebliche Kollektivversicherung Informationspflichtenverordnung - BKV-InfoV)	BGBl. II Nr. 149/2015	Insurance Undertakings Regulations
Own Funds Requirements Regulation for Small Mutual Associations (kV-EEV; kleine Versicherungsvereine Eigenmittelerfordernisverordnung)	BGBl. II Nr. 94/2015	Insurance Undertakings Regulations
Regulation of the Financial Market Authority (FMA) on the content and level of detail of recovery plans of banks (Bankensanierungsplanverordnung – BaSaPV)	BaSaPV	Banks Regulations
Regulation on Credit Institution Risk Management (KI-RMV; Kreditinstitute-Risikomanagementverordnung) Show description: Regulation on Credit Institution Risk Management (KI-RMV; Kreditinstitute-Risikomanagementverordnung) Description for: Regulation on Credit Institution Risk Management (KI-RMV; Kreditinstitute-Risikomanagementverordnung) This English language version includes all amendments upto and including the amendment published in Federal Law Gazette II 235/2014	KI-RMV	Banks Regulations
Regulation on the additional allocation to the volatility reserve (Zusätzliche Zuweisung zur Schwankungsrückstellung - ZZV)	BGBl. II Nr. 453/2012	Pension Companies Regulations
Regulation of the FMA amending the Regulation establishing Information and Equivalency	BGBl. II Nr. 268/2011	UCITS Regulations
Regulation of the Financial Market Authority (FMA) on Risk Measurement and Reporting of Derivatives [4th Derivatives Risk Measurement and Reporting Regulation]	BGBl. II Nr. 266/2011	UCITS Regulations
Regulation of the Financial Market Authority (FMA) concerning the Key Investor Information Document (KID Regulation)	BGBl. II Nr. 265/2011	UCITS Regulations
Regulation of the Financial Market Authority (FMA) on the content and structure of information to be provided by insurance undertakings to beneficiaries (entitled and recipients) or insured persons of occupational group insurance schemes (Information Requ	BGBl. II Nr. 264/2011	UCITS Regulations
Reserves Reporting Regulation (ResV; Reservenmeldungsverordnung)	ResV	Banks Regulations
Minimum Yield Regulation (Mindestertragsverordnung)	BGBl II Nr. 615/2003	Pension Companies Regulations

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FMA Regulations

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