SIA Viainvest

Administrative sanction and measure

When concluding the Administrative Treaty, the FCMC issued a warning to the company regarding infringements related to non-compliance with the conditions laid down in the transitional plan resulting from Articles 126.2 and 129 of the Financial Instrument Market Law and Article 4 of the Investment Brokerage Law. The FCMC imposed a fine on the company for violations of Section 6, Paragraph two, Section 7, Paragraph one, Clauses 2, 3, 4 and 8, Section 10, Paragraph one, Section 11.1, Paragraph one, Section 20, Paragraph one, Clause 2 and Paragraph two, Clauses 1 and Section 22, Paragraph one of the Law on the Prevention of Money Laundering and Terrorism and Proliferation Financing and for violations of paragraphs 10, 31 and 32 of the FCMC’s Regulation No. 5.

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