Sanction 10336
1 of 184 sanctions recorded for Greece.
- Sanction date
- 14 Sept 2021
- Country
- Greece
- Legal framework
- MiFID
- Nature of sanction
- Administrative sanction and measure
- ESMA sanction ID
- 10336
Sanction text
Original language: English. Text is published as-is from ESMA.
The HCMC's BoD decided to impose a total fine of € 60,000 on the company PIRAEUS SECURITIES S.A., for the infringement of the provisions of article 12 paragraph 2 of Greek law 3606/2007, as specified by the provisions of article 3, paragraph 1 (c) of decision 2/452/1.11.2007 of the Hellenic Capital Market Commission, and the provisions of article 10 of decision 2/452/1.11.2007 of the Hellenic Capital Market Commission, regarding the operation of the internal control function to ensure compliance with decisions and procedures, and regarding the internal procedures for the proper and prompt investigation of complaints.
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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