GENERAL COMPLIANCE INFORMATION

GENERAL COMPLIANCE INFORMATION (2016)
I.GENERAL INFORMATION
Full legal name of Institution
Legal address
Mailing address
(if different from above)
Name of AML/Compliance Officer
Telephone/facsimile numbers
E-mail/website addresses
Name of external auditors
Name of supervisory authority
Legal Form
Registration / License No.
Date of registration / Authority
Principal banking activities
Allgemeine Sparkasse Oberösterreich BankAG
Promenade 11-13, 4020 Linz, Austria
Promenade 11-13, 4020 Linz, Austria
Mr. Kuno Modelhart
+43 50 100 45521
sorgfaltspflicht@sparkasse-ooe.at
http://www.sparkasse.at/oberoesterreich
Sparkassenprüfungsverband
Österreichische Nationalbank
Joint Stock Company
78633m// 28 1801/19-FMA-I72/03
01.10.1990, Commercial court Linz, Austria
Commercial bank
II.OWNERSHIP AND EXECTUTIVE MANAGEMENT
If Institution is publicly held, please indicate exchange on which shares are traded: --If Institution is privately owned, please list the names of all owners in the table below and their
ownership interest (add further rows if necessary):
Name and domicile
Anteilsverwaltung Allgemeine Sparkasse, Linz, Austria:
Erste Group Bank AG, Vienna, Austria:
SPOSAG, Linz, Austria:
City of Schwanenstadt, Schwanenstadt, Austria:
ASK Privatstiftung, Linz, Austria:
Regionalfonds Grieskirchen, Grieskirchen, Austria:
ownership interest (%)
56.51 % 1)
37.73 % 2)
2.98 %
1.04 %
1.60 %
0.14 %
1) Ultimate beneficial owner
ownership interest (%)
Anteilsverwaltung Allgemeine Sparkasse is a savings association pursuant to the Austrian Savings Banks Act. It is a Non-profit association
which does not have owners. The founders are not entitled to any rights similar to ownership rights.
The field of business activity of Anteilsverwaltung Allgemeine Sparkasse is limited to asset management. The object of this asset management
is the equity stake of the bank (joint stock company) resulting from the contribution of a company or a banking business unit.
2) Ultimate beneficial owner > 20%
Free Float
ownership interest (%)
approx. 70.60%
Information taken from below:
http://www.erstegroup.com/de/Downloads/841d12d4-5947-448e-9437-01ac14274573.pdf
Executive Management / Board of Directors of Institution:
Dr. Michael ROCKENSCHAUB, CEO
Maximilian POINTNER, Member of the Board
Herbert WALZHOFER, Member of the Board
Have there been any significant changes in ownership (exceeding 25%) over the last five
years?
Are there Politically Exposed Persons (PEPs) that are Shareholders of your Bank, or
members of your board of directors or senior managers of your Bank?
Does your FI have any branches or subsidiaries which are not covered by your AML/CTF
policy?
Has any regulatory action which has been publicly disclosed been taken against your FI
or its ultimate Parent within the last 3 years, including action taken by your AML/CTF
regulator, banking regulator or corporate regulator?
YES
YES
YES
YES
NO

NO

NO

NO
