{"kind":"evidence_file","company":{"id":"a9ce29c8-ae6f-4ab3-aa2c-df7fa80aeaa5","name":"AXON SECURITIES S.A.","mergedInto":null},"asOf":"2026-10-24T19:15:28.295Z","asOfBasis":"instant","generatedAt":"2026-10-25T00:50:23.943Z","claims":[{"predicate":"identifier","value":"lei:213800TB2E78VBL1WW50","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn14719","observedAt":"2026-09-12T19:08:59.865Z","confirmedAt":"2026-10-23T12:00:20.089Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"name","value":"axon securities","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn14719","observedAt":"2026-09-12T19:08:59.850Z","confirmedAt":"2026-10-23T12:00:20.073Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"primary_country","value":"GR","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn14719","observedAt":"2026-09-12T19:08:59.853Z","confirmedAt":"2026-10-23T12:00:20.077Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"14719","regime":"Hellenic Capital Market Commission (HCMC)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:08:59.875Z","designatedAt":"2025-10-03T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"To ΔΣ της ΕΚ κατά την 1064/3.10.2025 συνεδρίασή του αποφάσισε την επιβολή προστίμου ύψους €3.000 στην εταιρεία «AXON ΧΡΗΜΑΤΙΣΤΗΡΙΑΚΗ Α.Ε.Π.Ε.Υ» (LEI:213800TB2E78VBL1WW50) για παράβαση των διατάξεων της παρ. 6 του άρθρου 6 της απόφασης 1/459/27.12.2007 του Δ.Σ. της Επιτροπής Κεφαλαιαγοράς λόγω μη εμπρόθεσμης υποβολής των Οικονομικών Καταστάσεων της περιόδου 1.1.2024 – 30.6.2024\n\n[original (Greek)]\n\nΤhe HCMC's BoD decided, at its 1064/3.10.2025 meeting to impose a fine of €3,000 on the company \"AXON SECURITIES S.A.\" (LEI: 213800TB2E78VBL1WW50), for breach of the provisions of paragraph 6 of Article 6 of Decision No. 1/459/27.12.2007 of the Board of Directors of the Hellenic Capital Market Commission, due to the late submission of the Financial Statements for the period from 1 January 2024 to 30 June 2024.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14719","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"14719","regime":"Hellenic Capital Market Commission (HCMC)","program":"MiFID","state":"in_force","stateSince":"2026-09-12T19:14:36.353Z","recordedAt":"2026-09-12T19:14:36.353Z","designatedAt":"2025-10-03T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"To ΔΣ της ΕΚ κατά την 1064/3.10.2025 συνεδρίασή του αποφάσισε την επιβολή προστίμου ύψους €3.000 στην εταιρεία «AXON ΧΡΗΜΑΤΙΣΤΗΡΙΑΚΗ Α.Ε.Π.Ε.Υ» (LEI:213800TB2E78VBL1WW50) για παράβαση των διατάξεων της παρ. 6 του άρθρου 6 της απόφασης 1/459/27.12.2007 του Δ.Σ. της Επιτροπής Κεφαλαιαγοράς λόγω μη εμπρόθεσμης υποβολής των Οικονομικών Καταστάσεων της περιόδου 1.1.2024 – 30.6.2024\n\n[original (Greek)]\n\nΤhe HCMC's BoD decided, at its 1064/3.10.2025 meeting to impose a fine of €3,000 on the company \"AXON SECURITIES S.A.\" (LEI: 213800TB2E78VBL1WW50), for breach of the provisions of paragraph 6 of Article 6 of Decision No. 1/459/27.12.2007 of the Board of Directors of the Hellenic Capital Market Commission, due to the late submission of the Financial Statements for the period from 1 January 2024 to 30 June 2024.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14719","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"}],"ownership":[],"lists":[{"source":"ESMA Sanctions Register","readAt":"2026-10-23T12:00:38.517Z","recordsRead":845,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here."}],"reading":{"assessmentId":"41d690ee-4915-44fb-bfb5-8e2e468d686b","takenAt":"2026-09-12T19:15:08.390Z","methodology":"v4","level":"medium","overall":65,"digest":"2e77671b589f8cbec4247a3caf13338141374e32","coverage":{"dimensions":[{"counts":{"found":1},"sources":[{"name":"ESMA Sanctions Register","status":"found","attemptedAt":"2026-09-12T19:14:40.601Z"}],"dimension":"sanctions"}],"jurisdictions":[{"gap":"No company register for this jurisdiction has been connected to this system, and none has been examined.","reasons":["registered here"],"countryId":"GR","registers":[]}]},"ownership":null},"limits":["Whether each listing was in force is rebuilt from what was recorded here: when it was first read, when a source stopped or resumed carrying it, and when its published term ended. A listing in force at an authority before this system first read it is shown from that first read.","No ownership verdict is kept for this company. Verdicts are kept for companies registered where shareholders are read here: Estonia, Latvia and Poland."]}