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.
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:email@example.com
Or send a letter to:
66, Kifissias Ave. (Building A)