Sanction 7940
1 of 184 sanctions recorded for Greece.
- Sanction date
- 30 May 2019
- Country
- Greece
- Legal framework
- MiFID
- Nature of sanction
- Administrative sanction and measure
- ESMA sanction ID
- 7940
Sanction text
Original language: English. Text is published as-is from ESMA.
A fine of € 20,000 in total on ARDU PRIME AEPEY, previously MAGNA TRUST AEPEY, for the infringement of the provisions of article 9 para 1 of Regulation (EU) 648/2012 (EMIR), of Law 3606/2007, of HCMC’s BoD’s Rules 1, 2, 3/452/1.11.2007, during the provision of investment services to its clients, and an infringement related to the investment firm’s internal control systems and compliance function’s operations.
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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