Management Board

Mag. Markus Braun

Mag. Peter Sidlo

 

Supervisory Board

Prof. Dr. Jörg Finsinger, Chairman

Mag. Gregor Eitler

Ludwig Neumann

 

Competent Supervisory Authority
Austrian Financial Market Authority
A-1090 Vienna, Otto-Wagner-Platz 5
www.fma.gv.at

 

Chamber/Professional Association
Austrian Federal Economic Chamber
Sector/Industry Group 702
Industry Group Financial Service Providers Vienna
A-1010 Vienna, Stubenring 8
www.wko.at

 

Applicable Provisions under Trade and Professional Law
The applicable legislation is in particular the Austrian Banking Act (Bankwesengesetz, BWG) and the Securities Supervision Act (Wertpieraufsichtsgesetz, WAG) as amended.
www.ris.bka.gv.at

 

Languages
You can communicate with us in the following languages: German and English.

 

Deposit Protection
SIGMA Investment AG is a member of the investor compensation scheme of WPDLU GmbH, A-1040 Vienna, Rainergasse 31/8

 

Applicable law
Austrian law shall apply exclusively.

 

Data Protection Statement

We hereby inform you about the processing of your personal data and the rights and claims you are entitled to under data protection legislation. The content and scope of data processing depend to a significant extent on the contract regarding the provision of financial services concluded with you.


Controller
The controller for data processing pursuant to the General Data Protection Regulation (GDPR) is:

SIGMA Investment AG
Graben 13/1/40
A-1010 Vienna
Austria
Tel: +43 1 533 36 62- 14
Fax: +43 1 533 36 62- 75
E-mail: This email address is being protected from spambots. You need JavaScript enabled to view it.

For questions regarding data protection please contact the data protection officer of SIGMA Investment AG at This email address is being protected from spambots. You need JavaScript enabled to view it.

 

Categories of personal data which are processed and their sources

We process personal data which we receive from you as part of the business relationship. Furthermore, we process data which we have permissibly received from credit agencies, debtors’ lists and publicly available sources (e.g. company register, register of associations, land register, media).

Personal data include data such as your name, address, contact details, date and place of birth, nationality, etc., as well as identification data (e.g. ID data) and authentication data (e.g. specimen signature). In addition, personal data also include order data (e.g. securities orders), data related to fulfilling our contractual obligations (e.g. securities account data), information regarding your financial status (e.g. status of assets, etc.), advertising and sales data, documentation data, registry data, processing results generated by the securities company itself as well as data required to meet legal and regulatory requirements.

 

Purposes for which personal data are processed, and legal basis for processing such data

We process your personal data in accordance with the provisions of data protection legislation.

 

·       For the performance of a contract (Art. 6 (1) point b GDPR):
    Personal data are processed (Art 4 (2) GDPR) for the purposes of performing and brokering securities transactions as well as other financial and consulting services or, as the case may be, the brokerage of     insurance transactions and the execution of orders as well as all activities required for the operation and management of a securities company.
    The purposes of data processing are primarily based on a specific product and may, among other things, include analyses or the execution of transactions.
    For the specific details regarding the purposes of data processing please refer to the respective contract documents.

 

·       Based on your consent (Art 6 (1) point a GDPR):
    If you have given your consent to the processing of your personal data, the data will only be processed in accordance with the purposes defined in the declaration of consent and in the scope agreed therein.     The consent given can be withdrawn at any time with effect for the future (e.g. you may object to the processing of your personal data for the purposes of marketing and advertising if you do not agree to the     processing of your data in the future). The withdrawal of the consent shall not affect the lawfulness of the data processed until the withdrawal.

 

·       To safeguard legitimate interests (Art 6 (1) point f GDPR):
    Where required, data may be processed, within the balancing of interests in favour of SIGMA Investment AG or a third party, beyond the performance of the contract as such to safeguard legitimate interests     that we or such a third party may have. Data will be processed for the purpose of safeguarding legitimate interests in the following cases:    
  • Consultation of, and exchange of data with, credit agencies (e.g. Kreditschutzverband 1870) to determine credit and default risks;
  • Review and optimisation of procedures for requirement analysis and direct customer contact;
  • Advertising
  • Measures for business management and the further development of services and products;
  • Measures to protect employees and customers as well as the property of SIGMA Investment AG;
  • Measures to prevent and fight fraud (Fraud Transaction Monitoring);
  • Within the framework of prosecution.

 

  • For compliance with legal obligations (Art 6 (1) point c GDPR):

The processing of personal data may be required for the purpose of complying with different legal obligations (e.g. with respect to the Securities Supervision Act (WAG) 2018, Financial Markets Anti-Money Laundering Act, Stock Exchange Act, etc.) as well as supervisory regulations (e.g. of the Austrian Financial Market Authority (FMA), European Securities and Markets Authority (ESMA), etc.) which SIGMA Investment AG is subject to as an Austrian securities company. Examples of such cases are:

  • Execution of the identification of the customer and, if necessary, the beneficial owner
  • Provision of information to the FMA pursuant to the Stock Exchange Act (BörseG), e.g. to monitor compliance with the provisions regarding market abuse of inside information;
  • Provision of information to frities for criminal offences as part of fiscal criminal proceedings because of a financial offence;
  • Provision of information to the federal tax authorities;
  • Provision of information to auditors within the statutory auditing requirements;
  • Reports to the Financial Intelligence Unit in certain suspected cases (Section 16 Anti-Money Laundering Act).

 

Who receives your data?

Within SIGMA Investment AG, your data will be given to those departments and employees that require them to perform contractual, legal and supervisory obligations as well as legitimate interests. In addition, processors (in particular IT service providers) receive your data from us provided that they need these data to perform their respective services. All processors are under the contractual obligation to treat your data confidentially and to process them only within the scope of the services they provide.

If a legal or supervisory obligation exists, public bodies and institutions (e.g. Austrian Financial Market Authority, financial authorities, tax authorities) may be recipients of your personal data.

Please note that SIGMA Investment AG as an Austrian securities company is under the obligation to comply with the obligation of confidentiality pursuant to Section 8 of the Securities Supervision Act (WAG) 2018 and with respect to all client-related information and facts which you have provided or made accessible to us based on the business relationship. We are only permitted to disclose your data if you have explicitly relieved us in advance of our obligation of confidentiality in writing, or if we have the legal or supervisory obligation or authorisation to do so. Recipients of personal data in this context may be credit and financial institutions or comparable institutions to whom we transfer data in order to conduct our business relationship with you (depending on the contract, these may be correspondent banks, stock exchanges, custodian banks, etc.).

 

For how long do we store your data?

We process your personal data, as far as necessary, for the duration of the entire business relationship (from the initiation, execution to the termination of a contract) and beyond that in accordance with the statutory retention and documentation obligations, which arise, among others, from the Austrian Commercial Code (Unternehmensgesetzbuch, UGB), the Federal Tax Code (Bundesabgabenordnung, BAO), the Securities Supervision Act (Wertpapieraufsichtsgesetz, WAG) and the Financial Markets Anti-Money Laundering Act (Finanzmarkt-Geldwäschegesetz, FM-GwG).

Furthermore, the statutory civil law limitation periods shall be taken into account in the duration of storage. Such limitation periods may amount to up to 30 years, e.g. in accordance with the Austrian Civil Code (ABGB) (the general limitation period is 3 years).

 

Your rights

At any time you have the right to access to, rectification, erasure or restriction of processing of your stored personal data, a right to object to the processing of your data and a right to data portability pursuant to the provisions of data protection law. You have the right to lodge a complaint with the data protection officer of SIGMA Investment AG and the Austrian Data Protection Authority.

 

Are you obliged to give SIGMA Investment AG certain personal data?

Within the scope of the business relationship, you have to provide those personal data which are necessary to commence and conduct the business relationship and for whose collection we have a legal obligation. If you do not provide us with these data, we will, as a rule, have to decline to conclude or execute the contract or will no longer be able to execute and consequently have to terminate an existing contract or refuse to provide individual services. However, you are under no obligation to give your consent to the processing of data which are not relevant to the performance of a contract and are not required for legal and/or regulatory reasons.

 

Legal Information

The use of the information contained in this website shall be the exclusive responsibility of the respective reader and user and applies subject to all applicable legal provisions and conditions listed in the following.


No Offer. Information only.


The data and information published on this website solely serve for the purpose of information free of charge. They may be added to, changed or removed at any time. They are neither advertisements nor recommendations, nor do they represent any legal or tax advice. Therefore, this information cannot be used as a basis for individual actions or decisions, and is consequently no invitation to buy or sell specific securities, financial instruments, foreign currencies or any other financial products of any type whatsoever. Such information is also not intended to broker the aforementioned financial instruments or financial services of any kind.

The information given is only the presentation of assessments and opinions of different information services and authors who have provided their contribution to SIGMA Investment AG, its associated companies and partner banks. The statements and forward-looking statements made in these contributions reflect the current opinion of the author and do not necessarily represent the opinion of SIGMA Investment AG, its associated companies or partner banks. Such opinions may change without prior announcements. Moreover, the integration of an information service does not represent a rating on the part of SIGMA Investment AG, its associated companies and partner banks. Rather, SIGMA Investment AG, its associated companies and partner banks endeavour to provide their readers with as many opinions/assessments as possible in order to enable readers to make their own decision. In order complement this diversity of opinions, SIGMA Investment AG, its associated companies and partner banks will also write their own texts, which also only serve for purpose of informing readers and in no case represent any advice, advertising or recommendation in any direction.

Information on previous and current value development does not allow a forecast for the future.


No liability


SIGMA Investment AG, its associated companies, data suppliers and partner banks assume no liability or warranty whatsoever for the topicality, completeness, permanent availability, lawfulness, correctness in terms of time and the correctness of the information and data used in this website which are based on publicly accessible materials and/or are provided by third parties.


Links
 

SIGMA Investment AG’s website contains hyperlinks to the sites of other providers as a service free of charge. When using a link, you get to another website. SIGMA Investment AG, its associated companies and partner banks assume no liability or warranty whatsoever for the correctness, lawfulness and completeness of the information on other websites. SIGMA Investment AG, associated companies and partner banks hereby expressly distance themselves from contents on linked websites that are unlawful.


Rights


SIGMA Investment AG, its associated companies and partner banks or the respective providers or producers named own the copyright or other rights of use or property rights in all pages of the website, including layout, source code, software and the content of the pages. Retrieving, copying and saving the website, its content or the results generated or displayed by the visualisation tools, whether in total or in part, is only permitted for private, non-commercial purposes. Copyright notices and brand names may neither be changed nor eliminated. All actions beyond these purposes are subject to prior written approval by SIGMA Investment AG.

The information provided on this website may not be used for purposes which violate the law of the state in which the respective user operates, nor for purposes which generally violate legal regulations associated with the provision and use of information.

 


 

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