Investment Intermediation Firms (AEED)
Investment Intermediation Firms based in Greece and being licensed by the HCMC. According to paragraph 2 of Article 36 of Law 3606/2007, the AEED are authorized to provide investment services consisting exclusively in the reception and transmission of orders in transferable securities and units in collective investment undertakings and investment advice regarding securities and units in collective investment undertakings. The AEED are not allowed to hold funds and financial instruments of their clients.
Investment Services Firms (AEPEY)
Investment Services Firms based in Greece and being licensed by the HCMC in accordance with Article 9 of Law 3606/2007 in order to provide investment services and activities under Article 4 of Law 3606/2007, financial instruments under Article 5 of the same law.
Tied Agents Register of AEPEY
According to Article 29 of Law 3606/2007, tied agents are natural or legal persons acting on behalf of a single AEPEY under the full and unconditional responsibility. They can advertise the investment and ancillary services that the AEPEY provides to clients or prospective clients, to receive and transmit orders concerning investment services or financial instruments, to mediate for the placement of financial instruments and to provide advice on such financial instruments and services offered by AEPEY. Tied agents are not allowed to possess money or financial instruments. This register contains the tied agents based in Greece.
Passports notifications for AEPEY
Passports notifications for AEPEY are referred the AEPEY disclosures to the Hellenic Capital Market Commission wishing to provide investment services and activities without establishment in EU Member States that have followed the procedure described in paragraphs 2 to 5 of Article 31 of Law 3606/2007. In this area, the following information is displayed: a) the names of AEPEY intending to do business in EU Member States, b) these countries, c) tables of investment/ ancillary services and financial activity.
EPEY branches that have received license by the competent authorities of other EU Member States and are based in Greece, in order to provide investment services covered by their license. In this framework, tied agents of EPEY, based in Greece, may show up, and regarded as EPEY branch, in accordance with paragraph 8 of article 32 of Law 3606/2007.
EPEY Tied Agents
EPEY tied agents of other EU Member States which are based in Greece.