Sanction 9668
1 of 184 sanctions recorded for Greece.
- Sanction date
- 18 Jan 2021
- Country
- Greece
- Legal framework
- MiFID
- Nature of sanction
- Administrative sanction and measure
- ESMA sanction ID
- 9668
Sanction text
Original language: English. Text is published as-is from ESMA.
A total fine of € 15,000 was imposed on "ALPHA BANK", as the successor of the "COMMERCIAL BANK OF GREECE", for the infringement of the provisions of articles 5 (par.1 and 2), 8 (par. 1 and 2), 16 (par. 1 and 2) of the Decision of the Board of Directors of the HCMC with no. 1/452/1.11.2007, of article 25 (par. 5 and 6) of Law 3606/2007, as supplemented by the provisions of article 13 (par. 1) and of article 14 of the Decision of the Board of Directors of the HCMC with no. 1/452/1.11.2007 and article 20 (par. 2a) of the Decision of the Board of Directors of the HCMC with no. 1/452/1.11.2007 in conjunction with the provisions of article 4 (par. 1) of said HCMC decision, 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