Sanction 9669
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
- 9669
Sanction text
Original language: English. Text is published as-is from ESMA.
A total fine of € 10,000 was imposed on "ALPHA BANK", 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, and 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 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.
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