Sanction 10431
1 of 184 sanctions recorded for Greece.
- Sanction date
- 18 Oct 2021
- Country
- Greece
- Legal framework
- MiFID
- Nature of sanction
- Administrative sanction and measure
- ESMA sanction ID
- 10431
Sanction text
Original language: English. Text is published as-is from ESMA.
The HCMC's BoD decided to impose a total fine of € 10.000 on the company “OPTIMA BANK” for the infringement of article 27 paragraph 1 of Greek law 4514/2018 in combination with article 64 of Regulation (EU) 2017/565 regarding non-compliance with best execution obligations, and of article 58 of Regulation (EU) 2017/565 for not concluding a client agreement for the provision of specific investment services.
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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