CFS SECURITIES & INVESTMENT SERVICES S.A.
1 of 184 sanctions recorded for Greece.
- Sanction date
- 7 Nov 2016
- Country
- Greece
- Legal framework
- MiFID
- Nature of sanction
- Administrative sanction and measure
- ESMA sanction ID
- 4145
Sanction text
Original language: English. Text is published as-is from ESMA.
Sanction of €3.000 to CFS SECURITIES &INVESTMENT SERVICES S.A. for infringement of provisions of decision 2/452/2007 of HCMC on failing to make adequate arrangements with credit institutions to safeguard client’s funds by not notifying those institutions to characterize them as “clients’ account”
Related registers
- MiFID Register NCA-level enforcement actions
- EU Sanctions Commission restrictive measures
Data sourced from the ESMA sanctions and enforcement register, updated weekly.
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