Context

Any person employed in the following entities:

1.investment management companies / managers of alternative investment funds;
2.investment companies;
3.depositories;
4.financial investment service companies;
5.market operators;
6.data reporting service providers;
7.credit institutions in connection with investment or ancillary services or activities;
8.branches of third country companies;
9.the central depository and the participants in the central depository system


and who is aware of the possible or certain violation, by them and / or by the employed staff, of the provisions of GEO no. 32/2012, of Law no. 126/2018, of Law no. 74/2015, with subsequent amendments and completions and / or of Regulation (EU) 231/2013, of Regulation (EU) no. 600/2014, of Regulation (EU) no. 909/2014 and Regulation (EU) no. 1286/2014, may send to ASF a report of these violations.

By providing such information, you can help to identify inappropriate behaviors / practices of individuals or companies, as well as to correct the negative consequences they may have on the capital market.

For this purpose, ASF provides you with a mechanism for reporting violations or possible violations of GEO no. 32/2012, of Law no. 126/2018, of Law no. 74/2015, with subsequent amendments and completions and / or of Regulation (EU) 231/2013, of Regulation (EU) no. 600/2014, of Regulation (EU) no. 909/2014 and Regulation (EU) no. 1286/2014. You can also contact the specialized persons within the FSA for any further communication regarding the reported breach.


17/04/2021
GDPR

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