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FMA Regulations

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
TitleCodeCategory
Annex to the Regulation on the Annex to Audit Report - BGBl. II 95/2017 (Anlage zum Prüfungsbericht - AP-VO)

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BGBl. II Nr. 95/2017Banks
Regulations
Regulation on Annex to the Audit Report (Anlage zum Prüfungsbericht - AP-VO)BGBl. II Nr. 95/2017Banks
Regulations
Regulation on the Provision for Administrative Expenses 2013 (Verwaltungskostenrückstellungsverordnung - VKRStV 2013)BGBl. II Nr. 92/2017Pension Companies
Regulations
Regulation of the Financial Market Authority (FMA) on Electronic Submission (FMA Regulation on the Incoming Platform - FMA-IPV; FMA-Incoming-Plattformverordnung)

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BGBl. II Nr. 52/2017Banks
Pension Companies
Insurance Undertakings
AIFs
UCITS
Regulations
Payment Institutions
Regulation on Due Diligence for Fiduciary Accounts (Anderkonten-Sorgfaltspflichtenverordnung – AndKo-SoV)

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BGBl II Nr. 7/2017Banks
Prevention of Money Laundering & Terrorism Funding
Regulations
Online Identification Regulation (Online-Identifikationsverordnung – Online-IDV)

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BGBl II Nr. 5/2017Banks
Prevention of Money Laundering & Terrorism Funding
Regulations
Corporate Provision Funds Risk Analysis and Due Diligence Regulation (BVK-Risikoanalyse- und Sorgfaltspflichtenverordnung – BVK-RiSoV)

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BGBl II Nr. 4/2017Corporate Provision Funds
Prevention of Money Laundering & Terrorism Funding
Regulations
Regulation on Savings Associations (Sparverein-Verordnung - SpVV)

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SpVVBanks
Regulations
School Savings Schemes Due Diligence Regulation (Schulsparen-Sorgfaltspflichtenverordnung – Schulspar-SoV)

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BGBl II Nr. 2/2017Banks
Prevention of Money Laundering & Terrorism Funding
Regulations
Life Assurance Due Diligence Regulation (Lebensversicherung-Sorgfaltspflichtenverordnung – LV-SoV)

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BGBl II Nr. 1/2017Insurance Undertakings
Prevention of Money Laundering & Terrorism Funding
Regulations
CRR Supplementary Regulation (CRR-Begleitverordnung – CRR-BV)BGBl. II Nr. 403/2016Banks
Regulations
Deposit Guarantee Scheme Stress Test Regulation (Sicherungseinrichtungen-Stresstestverordnung – SiEi-StrV)BGBl. II Nr. 370/2016Regulations
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. 370/2016Regulations
Deposit Guarantee Schemes
2016 Volatility Reserve Regulation (Schwankungsrückstellungs-Verordnung 2016 - SWRV 2016)BGBl. Nr. II 324/2016Insurance Undertakings
Regulations
Maximum Interest Rate Regulation for Insurance Undertakings (VU-HZV; Versicherungsunternehmen-Höchstzinssatzverordnung)BGBl II Nr. 266/2016Insurance 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. 257/2016Regulations
Deposit Guarantee Schemes
Regulation of the Financial Market Authority (FMA) on Reporting by Deposit Guarantee Schemes (Sicherungseinrichtungen-Meldeverordnung - SiEi-MV)BGBl. II Nr. 257/2016Regulations
Deposit Guarantee Schemes
Information Requirements Regulation for Pensionskassen (Pensionskassen Informationspflichtenverordnung – PK-InfoV)BGBl. II Nr. 196/2016Pension Companies
Regulations
Employee Categories and Verification Regulation (Mitarbeiterkategorien- und Nachweis-Verordnung – MiKaNa-V)BGBl. II Nr. 151/2016Banks
Regulations
2016 Regulation on Forms and Annual Reports (Formblatt- und Jahresmeldeverordnung 2016 – FJMV 2016)BGBl II Nr. 16/2016Pension Companies
Regulations
Regulation on Calculation Parameters for Pensionskassen (Pensionskassen-Rechnungsparameterverordnung – PK-RPV)BGBl II Nr. 15/2016Pension Companies
Regulations
Capital Buffer Regulation (Kapitalpufferverordnung – KP-V)BGBl. II Nr. 117/2016Banks
Regulations
Regulation on Qualifying Holdings 2016 (Eigentümerkontrollverordnung 2016 – EKV 2016)BGBl. II Nr. 425/2015Banks
Insurance Undertakings
Regulations
Payment Institutions
Annexes to the Regulation on Qualifying Holdings 2016 (Eigentümerkontrollverordnung 2016 – EKV 2016)BGBl. II Nr. 425/2015Banks
Insurance Undertakings
Regulations
Payment Institutions
Insurance Undertakings Investment Regulation (Versicherungsunternehmen Kapitalanlageverordnung - VU-KAV)BGBL II Nr. 423/2015Insurance Undertakings
Regulations
Regulation of the Financial Market Authority (FMA) concerning further cases of increased risk due to money laundering or terrorist financing (Regulation on Money Laundering and Terrorist Financing Risk 2016)BGBl II Nr. 422/2015Banks
Insurance Undertakings
Prevention of Money Laundering & Terrorism Funding
Regulations
Regulation on Fees for Trustees of Insurance Undertakings (VU-TGV; Versicherungsunternehmen-Treuhändergebührverordnung)BGBl. II Nr. 420/2015Insurance Undertakings
Regulations
Information Requirements Regulation for Health Insurance (Krankenversicherung Informationspflichtenverordnung; KV-InfoV)BGBl. II Nr. 374/2015Insurance Undertakings
Regulations
Regulation on the Annex to the Audit Report for Deposit Guarantee Schemes (Sicherungseinrichtungen-APV – SiEi-APV)BGBl. II Nr. 344/2015Regulations
Deposit Guarantee Schemes
Annex to the Regulation on the Annex to Audit Report - BGBl. II 343/2015

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BGBl. II 343/2015Banks
Regulations
Actuary’s Report Regulation for Insurance Undertakings (VU-AktBV; Versicherungsunternehmen-Aktuarsberichtsverordnung)BGBl. II Nr. 300/2015Insurance Undertakings
Regulations
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 UndertakingsBGBl. II Nr. 299/2015Insurance Undertakings
Regulations
Additional Provisions Regulation for State-sponsored Retirement Provision (PZV-ZRV; Prämienbegünstigte Zukunftsvorsorge-Zusatzrückstellungs-Verordnung)BGBl. II Nr. 297/2015Insurance Undertakings
Regulations
Life Assurance Profit Plan Regulation (Lebensversicherung Gewinnplanverordnung; LV-GPV;)BGBl. II Nr. 295/2015Insurance Undertakings
Regulations
Life Insurance Information Requirements Regulation (Lebensversicherung Informationspflichtenverordnung - LV-InfoV)BGBl. II Nr. 294/2015Insurance Undertakings
Regulations
Insurance Undertakings Deckungsstock List Regulation (VU VerzV; Versicherungsunternehmen Verzeichnisverordnung)BGBl. II Nr. 218/2015Insurance Undertakings
Regulations
Insurance Undertakings Reporting Regulation (Versicherungsunternehmen Meldeverordnung; VU-MV)BGBl. II Nr. 217/2015Insurance Undertakings
Regulations
Insurance Undertakings Reporting Regulation (Versicherungsunternehmen Meldeverordnung; VU-MV) Annex to § 1 Complementary Identification Codes (CIC)BGBl II Nr. 217/2015Insurance Undertakings
Regulations
Regulation of the Financial Market Authority (FMA) on the determination of a maximum amount for customary funeral costs (Beerdigungskostenverordnung 2016)BGBl. II Nr. 172/2015Insurance Undertakings
Regulations
Information Requirements Regulation for Occupational Group Insurance (Betriebliche Kollektivversicherung Informationspflichtenverordnung - BKV-InfoV)BGBl. II Nr. 149/2015Insurance Undertakings
Regulations
Risk management regulation for Pensionskassen (Pensionskassen-Risikomanagementverordnung – PK-RIMAV)BGBl. II Nr. 145/2015Pension Companies
Regulations
Small Mutual Associations Investment Regulation (kleine Versicherungsvereine Kapitalanlageverordnung – kV-KAV)BGBl. II Nr. 98/2015Insurance Undertakings
Regulations
Austrian Small Insurance Undertaking Investment Regulation (kleine Versicherungsunternehmen Kapitalanlageverordnung– kVU-KAV)BGBl. II Nr. 97/2015Insurance Undertakings
Regulations
Own Funds Requirements Regulation for Small Mutual Associations (kV-EEV; kleine Versicherungsvereine Eigenmittelerfordernisverordnung)BGBl. II Nr. 94/2015Insurance Undertakings
Regulations
Regulation of the Financial Market Authority (FMA) on the content and level of detail of recovery plans of banks (Bankensanierungsplanverordnung – BaSaPV)BGBl. II Nr. 25/2015Banks
Regulations
Regulation of the Financial Market Authority (FMA) on the proper capture, management, monitoring and limitation of the types of risk specified in Article 39 para. 2b BWG (Regulation on Credit Institution Risk ManagementBGBl. II Nr. 487/2013Banks
Regulations
2013 Regulation on the Auditing Actuary’s Audit Report (Prüfaktuar-Prüfberichtverordnung)BGBl II Nr. 436/2013Pension Companies
Regulations
Regulation of the Financial Market Authority (FMA), on the supplementary measures for Council Regulation (EU) No. 575/2013 with regard to the considerations for the exercising of supervisory discretions relating to the transitional provisions with regard BGBl. II Nr. 425/2013Banks
Regulations
Regulation of the Financial Market Authority (FMA) on the layout of the quarterlyfinancial statements [Quartalsmeldeverordnung 2012 (QMV; Regulation on Quarterly Financial Statements)]BGBl. II Nr. 223/2013UCITS
Regulations
Regulation on the additional allocation to the volatility reserve (Zusätzliche Zuweisung zur Schwankungsrückstellung - ZZV)BGBl. II Nr. 453/2012Pension Companies
Regulations
Regulation of the Financial Market Authority (FMA) on the Structure and Submission of Forms for Financial Statement Data pursuant to Article 30 para. 4 and Article 30a para. 1 PKG (2012 Regulation on Forms and Annual Reports – FJMV 2012)BGBl II Nr. 385/2012Pension Companies
Regulations
Regulation on Quarterly Financial Statements (QMV 2012; Quartalsmeldeverordnung 2012)BGBl II Nr. 383/2012Pension Companies
Regulations
Regulation of the FMA amending the Regulation establishing Information and EquivalencyBGBl. II Nr. 268/2011UCITS
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. 266/2011UCITS
Regulations
Regulation of the Financial Market Authority (FMA) concerning the Key Investor Information Document (KID Regulation)BGBl. II Nr. 265/2011UCITS
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 RequBGBl. II Nr. 264/2011UCITS
Regulations
Regulation of the Financial Market Authority (FMA) on Electronic Submission (FMA Regulation on the Incoming Platform – FMA-IPV)BGBl. II Nr. 184/2010Banks
Pension Companies
Insurance Undertakings
Regulations
Profit Participation Regulation for Health InsurancesBGBl. II Nr. 120/2007Insurance Undertakings
Regulations
Minimum Yield Regulation (Mindestertragsverordnung)BGBl II Nr. 615/2003Pension Companies
Regulations