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ESMA has compiled the information on published sanctions on the basis of notifications made to it by the national competent authorities of the Member States [of the European Economic Area (EEA)]. This compilation has been carried out with utmost care and to the best of its ability and ESMA endeavours to continuously update the information provided. For further information please refer to the website of the competent national supervisory authorities. In addition to the above provisions, attention is also drawn to the Legal Notice of the ESMA website. |
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Sanction details
Sanction
- Sanction legal framework
- MiFID
- Member state
- GREECE
- Sanctioning authority
- Hellenic Capital Market Commission (HCMC)
- Sanction nature
- Administrative sanction
- Sanction date
- 22/07/2021
- Sanction expiration date
- Sanctioned entity name
- Sanctioned entity legal framework
- Sanctioned entity LEI
- Free Text 1 (English)
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The HCMC's BoD decided to impose a total fine of € 8,000 on the company PIRAEUS SECURITIES SA for the infringement of the provisions of article 8 paragraph 2 of Greek law 4141/2013 in combination with the provisions of article 3 paragraph 1 of decision 6/675/27.2.2014 of the Hellenic Capital Market Commission, of article 25 paragraphs 1 and 2 of Greek law 3606/2007 in combination with the provisions of article 4 paragraphs 1 and 3 of the decision 1/452/1.11.2007 of the Hellenic Capital Market Commission, of article 10 paragraphs 1 and 2 of Greek law 4141/2013, of article 12 paragraph 6 of Greek law 3606/2007 in combination with the provisions of article 3 paragraph 1(c) of decision 2/452/1.11.2007 of the Hellenic Capital Market Commission.
- Free Text 2 ()
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- Last update
- 26/07/2021
The HCMC's BoD decided to impose a total fine of € 8,000 on the company PIRAEUS SECURITIES SA for the infringement of the provisions of article 8 paragraph 2 of Greek law 4141/2013 in combination with the provisions of article 3 paragraph 1 of decision 6/675/27.2.2014 of the Hellenic Capital Market Commission, of article 25 paragraphs 1 and 2 of Greek law 3606/2007 in combination with the provisions of article 4 paragraphs 1 and 3 of the decision 1/452/1.11.2007 of the Hellenic Capital Market Commission, of article 10 paragraphs 1 and 2 of Greek law 4141/2013, of article 12 paragraph 6 of Greek law 3606/2007 in combination with the provisions of article 3 paragraph 1(c) of decision 2/452/1.11.2007 of the Hellenic Capital Market Commission.