Austria: filing with the Finanzmarktaufsichtsbehörde
Excel only.
| Accepted formats | excel-only Enum extended: in 2026 the FMA accepted ONLY its own Excel template, not xBRL-CSV. Verbatim (FMA page, read 2026-10-31): 'Diese Excel-Vorlage war verpflichtend bei der Einmeldung des Informationsregisters an die FMA zu verwenden: FMA_Template_RoI_1_4_DE (xlsx, 3,8 MB, Deutsch) / FMA_Template_RoI_1_4_EN (xlsx, 3,8 MB, Englisch)'. Companion file 'FMA_RoI_Template_Dropdown_inklusive_ItemCodes' (xlsx, 59,7 KB) lists the drop-down values. 'Auch die EBA-Codes konnten (durch Kopieren) anstatt des Klartextes im FMA-Template eingereicht werden. Dies ermöglichte auch eine Konvertierung aus dem XBRL-Format in das Template mittels direkter Wertekopie, ohne Lookup oder SVERWEIS.' (EBA item codes may be pasted instead of plain-text labels, enabling conversion from an xBRL-CSV export). The FMA converts to the ESA format itself; a vendor note (low confidence) reports automatic validation of the Excel during upload. 2025 (EN page, still online): 'An Excel file drawn up by the FMA will be made available by the FMA in February 2025 via the Incoming Platform.' excel template url https://www.fma.gv.at/querschnittsthemen/dora/dora-management-ikt-drittparteienrisiko/ source high confidence |
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| Portal | FMA Incoming Plattform (Incoming Platform; operated by FMA, submissions do not replace OeNB reporting), 'for registered users' url https://webhost.fma.gv.at/IncomingPlattform/ login prerequisites Registration on the Incoming Plattform start page ('Registrieren'): personal data, company data (Firmenidentifikationstyp e.g. BLZ, VU-Nummer, PK-Nummer, W-Nummer; Firmenbuchnummer; LEI – 'Sollte ein LEI vorhanden und bekannt sein, ersuchen wir diesen zu erfassen', company name auto-filled from the LEI register), then Applikation > Applikation Service > Rolle and Benutzerkategorie (e.g. Banken und Finanzholdings, Versicherungsunternehmen, Wertpapierfirmen ..., SonderKI (KAG/AIFM/ImmoKAG), Pensionskassen); some categories (e.g. Wertpapierfirmen) must attach an official photo ID. Confirmation e-mail link, then 'Ihre Daten werden durch einen Mitarbeiter der FMA einer Überprüfung unterzogen' and activation e-mail; password set by the user via 'Passwort vergessen?' (min. 8 chars, 1 digit, 1 upper, 1 lower). Login = e-mail address + password (no certificate described). One registration per user; a 'Haupteinbringungsverantwortlicher' can manage/deactivate the company's Einbringer. Legal basis: FMA Incoming-Plattform-Verordnung (FMA-IPV, BGBl. II Nr. 206/2025 per search result). SPOC visible after login; technical questions via the contact form in the platform; DORA questions: DORA@fma.gv.at. source high confidence |
| File naming | Notes No file-naming convention is published on the FMA web pages read (the Excel template is uploaded through the Incoming Plattform form). Any convention would be inside the sector guides 'DORA_Anzeigen_Meldungen-IP – ...' (PDF) or the template itself, which could not be read (see notes). source medium confidence |
| Packaging | wrapper Not applicable: single xlsx template uploaded via the Incoming Plattform (no zip/report package). other rules
source high confidence |
| 2026 cycle (reference date 31 Dec 2025) | Notes Verbatim: 'Die jährliche Einmeldung an die FMA als zuständige Behörde ist 2026 vom 16.2.2026 bis zum 13.3.2026 über die Incoming Plattform erfolgt.' FAQ: 'Die FMA fordert das vollständige Informationsregister gemäß Art. 28 Abs. 3 vierter Unterabsatz Verordnung (EU) 2022/2554 mit Referenzdatum 31.12.2025 vom 16.02.2026 bis spätestens 13.03.2026 an. Die zuständigen Behörden haben die Informationsregister bis zum 31.März 2026 an die ESAs zu übermitteln.' EN announcement 'Submission of Registers of Information for 2026': 'The FMA requires the complete Register of Information ... with a reference date of 31.12.2025 by 13.03.2026 at the latest.' No correction window or extension published. 2025 first cycle for comparison: reference date 31.03.2025, submission 1–11 April 2025, FMA to ESAs by 30.04.2025. reference date 2025-12-31 opens 2026-02-16 deadline 2026-03-13 source high confidence |
| 2027 cycle (reference date 31 Dec 2026) | reference date 2026-12-31 esa transmission deadline 2027-03-31 announced no changes Nothing announced for 2027 on fma.gv.at as of 2026-10-31. Standing rule on the FMA page: 'Das Referenzdatum für die im Informationsregister enthaltenen Daten ist der 31. Dezember des Vorjahres.' The FMA/OeNB DORA Dialogue of 23.10.2025 covered 'a look ahead to the 2026 report'; no 2027 event on RoI is listed (2026 dialogues: 18.02.2026 'DORA at one', 02.06.2026 AI vulnerabilities, 09.09.2026 oversight framework). Unless amended. source high confidence |
| Test window | No test environment or dry-run window for the register is mentioned on the FMA pages read for 2026. source medium confidence |
| Sign-off | Unknown beyond the generic Incoming Plattform login guide. roles Incoming Plattform roles are chosen at registration (Applikation > Applikation Service > Rolle; 'Haupteinbringungsverantwortlicher' manages the company's Einbringer). No maker/checker step for the register is described publicly. source medium confidence |
| Feedback | format Not published on the pages read. A vendor (BOC Group, 16 Apr 2025) states the FMA template 'passed the FMA's automatic validation seamlessly during the upload process' (low confidence). source low confidence |
| LEI required | Not stated for the submitting financial entity on the FMA pages read (the Incoming Plattform registration asks for the LEI 'sollte ein LEI vorhanden und bekannt sein'). For ICT providers: 'Ein IKT-Dienstleister aus einem nicht-EU Drittstaat hat keinen LEI-Code, was kann hier stattdessen eingetragen werden? In diesem Fall kann ausnahmsweise ein nationaler Code verwendet werden (siehe EBA-FAQ #40).' Under the ESA ITS the entity LEI is mandatory in B_01.01/B_01.02 regardless of NCA. source high confidence |
| Who files here | FMA-supervised financial entities in DORA scope; FMA's Incoming-Platform guides exist per sector: Asset Manager, KI/ZI/EGI (credit, payment, e-money institutions), MI (market infrastructures), WPF/CSDL/CASP (investment firms, CSDs, crypto-asset service providers), VU (insurers), BVK (Vorsorgekassen), PK (Pensionskassen); Significant credit institutions do not submit the register to the FMA ('Significant credit institutions do not submit the report to the FMA.'); SSM submissions go to the ECB JST coordinator; Austrian-licensed subsidiaries of groups headquartered in another EU state pass their register to the group parent, which files with its own NCA; FMA receives those via the ESAs source high confidence |
| Quirks | Excel template is mandatory and FMA-specific (FMA_Template_RoI_1_4); EBA item codes are accepted in place of drop-down plain text, which lets filers paste values straight from an xBRL-CSV export.; Submission window closed before the ESA deadline: 16 Feb – 13 Mar 2026, i.e. 18 days before 31 March.; Austrian subsidiaries of EU groups do not file with the FMA; the group parent files with its home NCA and the FMA receives the data via the ESAs.; Incoming Plattform submissions are purged two years after submission for data-protection reasons (search-snippet source).; fma.gv.at returns HTTP 403 to non-browser fetchers; pages were read via a real browser session. |
| Notes | Thin-to-solid: 2026 window, reference date, mandatory Excel template and consolidation rules are from FMA's own page (high). Missing: file naming, size limits, feedback format, test window, 2027 dates – FMA does not publish these on its pages; they may be in the sector PDF guides or in the template, which could not be read (download.php links; WebFetch gets 403 on fma.gv.at and the one PDF opened in the browser triggered a download rather than a readable page). The earlier Formalize help-centre article on the FMA route returned 404. accepted_formats.value uses 'excel-only' (outside the given enum) because the FMA accepted no xBRL-CSV upload in 2026. |
The authority's own documents
- DORA – Management des IKT-Drittparteienrisikos (page with 2026 window, template links, FAQ) (undated (read 2026-10-31))
- DORA – FMA Activities (incl. 'Submission of Registers of Information for 2026') (undated (read 2026-10-31))
- Reporting Circumstances under DORA (Incoming Platform; still shows 2025 RoI text) (undated)
- FMA_Template_RoI_1_4_DE.xlsx / FMA_Template_RoI_1_4_EN.xlsx (3.8 MB each) – linked from the Drittparteienrisiko page via /wp-content/plugins/dw-fma/download.php (exact ids not captured) (undated)
- FMA_RoI_Template_Dropdown_inklusive_ItemCodes.xlsx (59.7 KB) (undated)
- Reden wir über Aufsicht – DORA Informationsregister (PDF, 184.1 KB) (undated)
- Fragenbeantwortungen zum DORA-Dialog: DORA-Informationsregister & aktuelle Hinweise 23.10.2025 (PDF, 185.9 KB) and Präsentationsunterlagen FMA-OeNB-DORA-Dialog 23.10.2025 (PDF, 3.1 MB) (2025-10-23)
- Präsentationsunterlagen DORA-Dialog Informationsregister 31.3.2025 (PDF, 703.3 KB) and Fragenbeantwortungen zum DORA-Dialog Informationsregister 31.03.2025 (PDF, 188.8 KB) (2025-03-31)
- DORA_Anzeigen_Meldungen-IP – Asset Manager / KI ZI EGI / MI / WPF CSDL CASP / VU / BVK / PK (sector guides to DORA notifications and reports via the Incoming Platform, PDFs 318–408 KB) (undated)
- Incoming Plattform Kurzbeschreibung Login (registration/login guide) (undated (platform relaunch 31.01.2022))
- Incoming Platform (overview page: background, SSM, points of contact) (undated)
Compiled from the authority's published guidance on 31 October 2026, with a source and confidence per field. Low confidence means the authority has not published it in writing and the statement is an inference from standing rules or a third party. Check the authority's page before the window opens, and send corrections to hello@roifile.com.