Sanction 9454
1 of 184 sanctions recorded for Greece.
- Sanction date
- 4 Nov 2020
- Country
- Greece
- Legal framework
- MiFID
- Nature of sanction
- Administrative sanction and measure
- ESMA sanction ID
- 9454
Sanction text
Original language: English. Text is published as-is from ESMA.
The HCMC decided to impose a total fine of € 25,000 on the company "ALPHA FINANCE INVESTMENT SERVICES S.A." for the infringement of article 6 (pars 1 and 2) of Law 4141/2013 and of article 12 (par. 6) of Law 3606/2007, as supplemented by the provisions of article 3 (par. 5), of the Decision of the Board of Directors of the HCMC with no. 2/452/1.11.2007, during the provision of investment services to its clients.
Related registers
- MiFID Register NCA-level enforcement actions
- EU Sanctions Commission restrictive measures
Data sourced from the ESMA sanctions and enforcement register, updated weekly.
📋 Track EU financial regulation continuously
Forseti monitors EU financial regulation and delivers personalised alerts anchored to verified official sources.
14-day free trial. No credit card required.
Legislation Binding EU law
Proposals Pre-legislative
Guidance Interpretive guidance
Consultations Pre-publication
Case law Binding