Sanction 10695
1 of 184 sanctions recorded for Greece.
- Sanction date
- 4 Mar 2022
- Country
- Greece
- Legal framework
- MiFID
- Nature of sanction
- Administrative sanction and measure
- ESMA sanction ID
- 10695
Sanction text
Original language: English. Text is published as-is from ESMA.
The HCMC's BOD decided to impose a total fine of € 5,000 on the company "NATIONAL SECURITIES S.A." for the infringement of the provisions of paragraph 1(c) of Regulation (EU) 565/2017, in ccombination with paragraph 5 of the same article, regarding internal audit mechanisms.
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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