{"id":36433,"date":"2021-12-01T14:05:00","date_gmt":"2021-12-01T13:05:00","guid":{"rendered":"https:\/\/www.fma.gv.at\/bekanntmachung-fma-verhaengt-sanktion-gegen-die-walser-privatbank-aktiengesellschaft-wegen-verletzung-von-organisationsvorschriften-sowie-berichtspflichten-gegenueber-kunden\/"},"modified":"2023-10-18T09:46:15","modified_gmt":"2023-10-18T07:46:15","slug":"announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers","status":"publish","type":"post","link":"https:\/\/www.fma.gv.at\/en\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\/","title":{"rendered":"Announcement: FMA imposes sanction against Walser Privatbank Aktiengesellschaft for a breach of organisational rules as well as reporting obligations towards customers"},"content":{"rendered":"<?xml encoding=\"utf-8\" ?><p class=\"wp-block-paragraph\">The Austrian Financial Market Authority (FMA) hereby announced that it has imposed a fine of Euro 20,000.00 against  Walser Privatbank Aktiengesellschaft as a legal person by way of the accelerated conclusion of proceedings pursuant to Article 22 para. 2b of the Financial Market Authority Act (FMABG)) for breaches against the Securities Supervision Act 2018 (WAG 2018; Wertpapieraufsichtsgesetz 2018) and Delegated Regulation (EU) 2017\/565 for a breach of organisational rules as well as reporting obligations in conjunction with the provision of portfolio management services towards customers.<\/p><p class=\"wp-block-paragraph\">The penal order is final.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>FMA imposes sanction against Walser Privatbank Aktiengesellschaft for a breach of organisational rules as well as reporting obligations towards customers<\/p>\n","protected":false},"author":28,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"inline_featured_image":false,"footnotes":""},"categories":[85],"tags":[],"class_list":["post-36433","post","type-post","status-publish","format-standard","hentry","category-sanction"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.8 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Announcement: FMA imposes sanction against Walser Privatbank Aktiengesellschaft for a breach of organisational rules as well as reporting obligations towards customers - FMA \u00d6sterreich<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.fma.gv.at\/en\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Announcement: FMA imposes sanction against Walser Privatbank Aktiengesellschaft for a breach of organisational rules as well as reporting obligations towards customers - FMA \u00d6sterreich\" \/>\n<meta property=\"og:description\" content=\"FMA imposes sanction against Walser Privatbank Aktiengesellschaft for a breach of organisational rules as well as reporting obligations towards customers\" \/>\n<meta property=\"og:url\" content=\"https:\/\/www.fma.gv.at\/en\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\/\" \/>\n<meta property=\"og:site_name\" content=\"FMA \u00d6sterreich\" \/>\n<meta property=\"article:published_time\" content=\"2021-12-01T13:05:00+00:00\" \/>\n<meta property=\"article:modified_time\" content=\"2023-10-18T07:46:15+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/www.fma.gv.at\/wp-content\/uploads\/2017\/05\/FMA_FB_Logo.jpg\" \/>\n\t<meta property=\"og:image:width\" content=\"925\" \/>\n\t<meta property=\"og:image:height\" content=\"524\" \/>\n\t<meta property=\"og:image:type\" content=\"image\/jpeg\" \/>\n<meta name=\"author\" content=\"Viktoria Gro\u00df\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:creator\" content=\"@FMA_AT\" \/>\n<meta name=\"twitter:site\" content=\"@FMA_AT\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Viktoria Gro\u00df\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"1 minute\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\\\/\\\/schema.org\",\"@graph\":[{\"@type\":\"Article\",\"@id\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\\\/#article\",\"isPartOf\":{\"@id\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\\\/\"},\"author\":{\"name\":\"Viktoria Gro\u00df\",\"@id\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/#\\\/schema\\\/person\\\/4bb16c41a0e7aef27661464e637da7e5\"},\"headline\":\"Announcement: FMA imposes sanction against Walser Privatbank Aktiengesellschaft for a breach of organisational rules as well as reporting obligations towards customers\",\"datePublished\":\"2021-12-01T13:05:00+00:00\",\"dateModified\":\"2023-10-18T07:46:15+00:00\",\"mainEntityOfPage\":{\"@id\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\\\/\"},\"wordCount\":105,\"publisher\":{\"@id\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/#organization\"},\"articleSection\":[\"Sanction\"],\"inLanguage\":\"en-US\"},{\"@type\":\"WebPage\",\"@id\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\\\/\",\"url\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\\\/\",\"name\":\"Announcement: FMA imposes sanction against Walser Privatbank Aktiengesellschaft for a breach of organisational rules as well as reporting obligations towards customers - FMA \u00d6sterreich\",\"isPartOf\":{\"@id\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/#website\"},\"datePublished\":\"2021-12-01T13:05:00+00:00\",\"dateModified\":\"2023-10-18T07:46:15+00:00\",\"breadcrumb\":{\"@id\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\\\/#breadcrumb\"},\"inLanguage\":\"en-US\",\"potentialAction\":[{\"@type\":\"ReadAction\",\"target\":[\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\\\/\"]}]},{\"@type\":\"BreadcrumbList\",\"@id\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\\\/#breadcrumb\",\"itemListElement\":[{\"@type\":\"ListItem\",\"position\":1,\"name\":\"Home\",\"item\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/\"},{\"@type\":\"ListItem\",\"position\":2,\"name\":\"Announcement: FMA imposes sanction against Walser Privatbank Aktiengesellschaft for a breach of organisational rules as well as reporting obligations towards customers\"}]},{\"@type\":\"WebSite\",\"@id\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/#website\",\"url\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/\",\"name\":\"FMA \u00d6sterreich\",\"description\":\"\",\"publisher\":{\"@id\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/#organization\"},\"potentialAction\":[{\"@type\":\"SearchAction\",\"target\":{\"@type\":\"EntryPoint\",\"urlTemplate\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/?s={search_term_string}\"},\"query-input\":{\"@type\":\"PropertyValueSpecification\",\"valueRequired\":true,\"valueName\":\"search_term_string\"}}],\"inLanguage\":\"en-US\"},{\"@type\":\"Organization\",\"@id\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/#organization\",\"name\":\"FMA - Finanzmarktaufsicht\",\"url\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/\",\"logo\":{\"@type\":\"ImageObject\",\"inLanguage\":\"en-US\",\"@id\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/#\\\/schema\\\/logo\\\/image\\\/\",\"url\":\"https:\\\/\\\/www.fma.gv.at\\\/wp-content\\\/uploads\\\/2017\\\/05\\\/FMA_Logo_Twitter_400x400.png\",\"contentUrl\":\"https:\\\/\\\/www.fma.gv.at\\\/wp-content\\\/uploads\\\/2017\\\/05\\\/FMA_Logo_Twitter_400x400.png\",\"width\":400,\"height\":400,\"caption\":\"FMA - Finanzmarktaufsicht\"},\"image\":{\"@id\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/#\\\/schema\\\/logo\\\/image\\\/\"},\"sameAs\":[\"https:\\\/\\\/x.com\\\/FMA_AT\"]},{\"@type\":\"Person\",\"@id\":\"https:\\\/\\\/www.fma.gv.at\\\/en\\\/#\\\/schema\\\/person\\\/4bb16c41a0e7aef27661464e637da7e5\",\"name\":\"Viktoria Gro\u00df\",\"image\":{\"@type\":\"ImageObject\",\"inLanguage\":\"en-US\",\"@id\":\"https:\\\/\\\/secure.gravatar.com\\\/avatar\\\/7961cf53ca96a1e27b4af6a6eb83b01b9d396ade74746c7fa515000de679a6c4?s=96&d=mm&r=g\",\"url\":\"https:\\\/\\\/secure.gravatar.com\\\/avatar\\\/7961cf53ca96a1e27b4af6a6eb83b01b9d396ade74746c7fa515000de679a6c4?s=96&d=mm&r=g\",\"contentUrl\":\"https:\\\/\\\/secure.gravatar.com\\\/avatar\\\/7961cf53ca96a1e27b4af6a6eb83b01b9d396ade74746c7fa515000de679a6c4?s=96&d=mm&r=g\",\"caption\":\"Viktoria Gro\u00df\"}}]}<\/script>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Announcement: FMA imposes sanction against Walser Privatbank Aktiengesellschaft for a breach of organisational rules as well as reporting obligations towards customers - FMA \u00d6sterreich","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.fma.gv.at\/en\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\/","og_locale":"en_US","og_type":"article","og_title":"Announcement: FMA imposes sanction against Walser Privatbank Aktiengesellschaft for a breach of organisational rules as well as reporting obligations towards customers - FMA \u00d6sterreich","og_description":"FMA imposes sanction against Walser Privatbank Aktiengesellschaft for a breach of organisational rules as well as reporting obligations towards customers","og_url":"https:\/\/www.fma.gv.at\/en\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\/","og_site_name":"FMA \u00d6sterreich","article_published_time":"2021-12-01T13:05:00+00:00","article_modified_time":"2023-10-18T07:46:15+00:00","og_image":[{"width":925,"height":524,"url":"https:\/\/www.fma.gv.at\/wp-content\/uploads\/2017\/05\/FMA_FB_Logo.jpg","type":"image\/jpeg"}],"author":"Viktoria Gro\u00df","twitter_card":"summary_large_image","twitter_creator":"@FMA_AT","twitter_site":"@FMA_AT","twitter_misc":{"Written by":"Viktoria Gro\u00df","Est. reading time":"1 minute"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.fma.gv.at\/en\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\/#article","isPartOf":{"@id":"https:\/\/www.fma.gv.at\/en\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\/"},"author":{"name":"Viktoria Gro\u00df","@id":"https:\/\/www.fma.gv.at\/en\/#\/schema\/person\/4bb16c41a0e7aef27661464e637da7e5"},"headline":"Announcement: FMA imposes sanction against Walser Privatbank Aktiengesellschaft for a breach of organisational rules as well as reporting obligations towards customers","datePublished":"2021-12-01T13:05:00+00:00","dateModified":"2023-10-18T07:46:15+00:00","mainEntityOfPage":{"@id":"https:\/\/www.fma.gv.at\/en\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\/"},"wordCount":105,"publisher":{"@id":"https:\/\/www.fma.gv.at\/en\/#organization"},"articleSection":["Sanction"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.fma.gv.at\/en\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\/","url":"https:\/\/www.fma.gv.at\/en\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\/","name":"Announcement: FMA imposes sanction against Walser Privatbank Aktiengesellschaft for a breach of organisational rules as well as reporting obligations towards customers - FMA \u00d6sterreich","isPartOf":{"@id":"https:\/\/www.fma.gv.at\/en\/#website"},"datePublished":"2021-12-01T13:05:00+00:00","dateModified":"2023-10-18T07:46:15+00:00","breadcrumb":{"@id":"https:\/\/www.fma.gv.at\/en\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.fma.gv.at\/en\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.fma.gv.at\/en\/announcement-fma-imposes-sanction-against-walser-privatbank-aktiengesellschaft-for-a-breach-of-organisational-rules-as-well-as-reporting-obligations-towards-customers\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.fma.gv.at\/en\/"},{"@type":"ListItem","position":2,"name":"Announcement: FMA imposes sanction against Walser Privatbank Aktiengesellschaft for a breach of organisational rules as well as reporting obligations towards customers"}]},{"@type":"WebSite","@id":"https:\/\/www.fma.gv.at\/en\/#website","url":"https:\/\/www.fma.gv.at\/en\/","name":"FMA \u00d6sterreich","description":"","publisher":{"@id":"https:\/\/www.fma.gv.at\/en\/#organization"},"potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.fma.gv.at\/en\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Organization","@id":"https:\/\/www.fma.gv.at\/en\/#organization","name":"FMA - Finanzmarktaufsicht","url":"https:\/\/www.fma.gv.at\/en\/","logo":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.fma.gv.at\/en\/#\/schema\/logo\/image\/","url":"https:\/\/www.fma.gv.at\/wp-content\/uploads\/2017\/05\/FMA_Logo_Twitter_400x400.png","contentUrl":"https:\/\/www.fma.gv.at\/wp-content\/uploads\/2017\/05\/FMA_Logo_Twitter_400x400.png","width":400,"height":400,"caption":"FMA - Finanzmarktaufsicht"},"image":{"@id":"https:\/\/www.fma.gv.at\/en\/#\/schema\/logo\/image\/"},"sameAs":["https:\/\/x.com\/FMA_AT"]},{"@type":"Person","@id":"https:\/\/www.fma.gv.at\/en\/#\/schema\/person\/4bb16c41a0e7aef27661464e637da7e5","name":"Viktoria Gro\u00df","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/secure.gravatar.com\/avatar\/7961cf53ca96a1e27b4af6a6eb83b01b9d396ade74746c7fa515000de679a6c4?s=96&d=mm&r=g","url":"https:\/\/secure.gravatar.com\/avatar\/7961cf53ca96a1e27b4af6a6eb83b01b9d396ade74746c7fa515000de679a6c4?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/7961cf53ca96a1e27b4af6a6eb83b01b9d396ade74746c7fa515000de679a6c4?s=96&d=mm&r=g","caption":"Viktoria Gro\u00df"}}]}},"toolset-meta":[],"publishpress_future_action":{"enabled":true,"date":"2026-11-23 10:42:00","action":"delete","newStatus":"draft","terms":[],"taxonomy":"category","extraData":[]},"publishpress_future_workflow_manual_trigger":{"enabledWorkflows":[]},"_links":{"self":[{"href":"https:\/\/www.fma.gv.at\/en\/wp-json\/wp\/v2\/posts\/36433","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.fma.gv.at\/en\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.fma.gv.at\/en\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.fma.gv.at\/en\/wp-json\/wp\/v2\/users\/28"}],"replies":[{"embeddable":true,"href":"https:\/\/www.fma.gv.at\/en\/wp-json\/wp\/v2\/comments?post=36433"}],"version-history":[{"count":4,"href":"https:\/\/www.fma.gv.at\/en\/wp-json\/wp\/v2\/posts\/36433\/revisions"}],"predecessor-version":[{"id":36438,"href":"https:\/\/www.fma.gv.at\/en\/wp-json\/wp\/v2\/posts\/36433\/revisions\/36438"}],"wp:attachment":[{"href":"https:\/\/www.fma.gv.at\/en\/wp-json\/wp\/v2\/media?parent=36433"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.fma.gv.at\/en\/wp-json\/wp\/v2\/categories?post=36433"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.fma.gv.at\/en\/wp-json\/wp\/v2\/tags?post=36433"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}