Internal Audit

We have established and maintain an independent internal audit function with the following responsibilities:
  • To establish, implement and maintain an audit plan to examine and evaluate the adequacy and effectiveness of the investment firm's systems, internal control mechanisms and arrangements
  • To issue recommendations based on the result of work carried out
  • To verify compliance with those recommendations
  •  To report in relation to internal audit matters to senior management
Audit controls are carried out according to the International Standards for the professional practice of internal audit.

Compliance

Taking into account the nature, scale and complexity of our business and the nature and range of investment services and activities undertaken in the course of our business, we have established and maintain an effective compliance function which operates independently and is responsible for:

  • Regular monitoring & evaluation of measures & procedures, adequacy and effectiveness in identifying risks of non-compliance with rules and regulations
  • Offering advice & assistance to employees responsible for investment services & activities
NBG Securities is authorized and regulated by HCMC license No: 5/120/18.11.1997 and operates under MiFID II laws and regulations.

If you wish to file a complaint, download the complaint form below or send us an email at:

compliance@nbgsecurities.com
Or send a letter to:

NBG Securities
Compliance
128-132 Athinon Ave. & Ifigenias Str   
104 42 Athens GR

Risk Management

We have established, implemented and maintain adequate risk management policies and procedures which identify the risks relating to the firm's activities, processes and systems.

We have adopted effective arrangements, processes and mechanisms to manage risks relating to our activities, processes and systems, in light of the level of risk tolerance.

We have established and maintain a Risk Management function that operates independently and carries out the tasks of: identification, evaluation, measurement, monitoring & management of  enterprise risks.

The Risk Management function also carries out the implementation of the risk management policies and procedures and monitors:

  • The adequacy and effectiveness of the company’s risk management policies and procedures
  • The level of compliance by the company and persons associated with the company in regards to the arrangements, processes and mechanisms adopted
  • The adequacy and effectiveness of measures taken to address any deficiencies in those policies, procedures, arrangements, processes and mechanisms, including associated persons failure to comply with such arrangements, processes and mechanisms or follow such policies and procedures