{"id":47616,"date":"2023-11-24T08:00:00","date_gmt":"2023-11-24T07:00:00","guid":{"rendered":"https:\/\/www.fma.gv.at\/bekanntmachung-fma-verhaengt-sanktion-ueber-natuerlicher-person-wegen-unerlaubter-anlageberatung-in-bezug-auf-finanzinstrumente\/"},"modified":"2024-07-10T16:50:35","modified_gmt":"2024-07-10T14:50:35","slug":"announcement-fma-imposes-a-sanction-against-a-natural-person-for-unauthorised-investment-advice-in-relation-to-financial-instruments","status":"publish","type":"post","link":"https:\/\/www.fma.gv.at\/en\/announcement-fma-imposes-a-sanction-against-a-natural-person-for-unauthorised-investment-advice-in-relation-to-financial-instruments\/","title":{"rendered":"Announcement: FMA imposes a sanction against a natural person for unauthorised investment advice in relation to financial instruments"},"content":{"rendered":"<?xml encoding=\"utf-8\" ?><p class=\"wp-block-paragraph\">The Austrian Financial Market Authority (FMA) announces that it has imposed a fine of EUR 10,000 against a business partner of an issuer in accordance with Article&nbsp;3 para.&nbsp;2 no.&nbsp;1 of the Securities Supervision Act 2018 (WAG 2018; Wertpapieraufsichtsgesetz 2018) due to the suspicion of unauthorised investment advice in relation to financial instruments. Clients were advised to dispose of fixed assets and to invest in financial instruments. The penal order is not final.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>FMA imposes a sanction against a natural person for unauthorised investment advice in relation to financial instruments<\/p>\n","protected":false},"author":56,"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-47616","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 a sanction against a natural person for unauthorised investment advice in relation to financial instruments - 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-a-sanction-against-a-natural-person-for-unauthorised-investment-advice-in-relation-to-financial-instruments\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Announcement: FMA imposes a sanction against a natural person for unauthorised investment advice in relation to financial instruments - 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