Regulatory framework and policies

We care about protecting your personal data and apply specific policies to safeguard them: 

• Information on personal data processing – View a detailed description of what data we collect and how they are processed, and find out your data protection rights. 
• Request form to exercise data subject rights – Fill in the form if you want to exercise your rights under the General Data Protection Regulation in connection with your personal data processed by us.

We have established specific policies that govern our procedures and ensure our company’s smooth operation:

• Instruction Execution Policy – It ensures that the best possible trade instruction outcome is achieved for any given UCITS portfolio. 
• Remuneration Policy – It concerns Board Members, senior management, UCITS managers, and any person that carries out audits and assumes risks.
• Conflict of Interest Policy – It stipulates our rules, standards and professional conduct principles to identify, prevent and efficiently manage conflicts of interest.
• Whistleblowing Policy and procedures (only available in Greek) – It specifies the general principles and operational framework for receiving, processing and investigating reports on irregularities, omissions or other actions that are punishable by law.
• Environmental, Social and Governance (ESG) Policy – It describes our guiding principles for ensuring that sustainability-related risks and opportunities are appropriately integrated into the management of investment portfolios.
• Code of Conduct (only available in Greek) – It sets out our principles and values, and specifies our commitments and obligations. 

Our entire range of investment products and services is provided solely by certified associates, as per Decision 18/809/21.02.2018 of the Hellenic Capital Market Commission.

Additionally, according to Article 2(6) of the same decision, investment services providers are obliged to post on their websites tables with the names of employees who hold a Certificate of Suitability for the provision of investment services:

• Certified employees of Alpha Asset Management MFMC
• Certified employees of the Alpha Bank network (only available in Greek)   

We strictly adhere to the legal and regulatory framework, as well as to all relevant provisions according to MiFID II.

MiFID ΙΙ (Markets in Financial Instruments Directive) is Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments. It was incorporated into Greek law by means of Law 4514/2018  (only available in Greek) on markets in financial instruments and other provisions, in force as of 3 January 2018. 

The European Parliament has also issued Commission Delegated Regulation (EU) 2017/565 of 25 April 2016 supplementing Directive 2014/65/EU.

MiFID aims to:

• Protect investors by maximising trade transparency.
• Harmonise laws and regulations on investments and financial services.
• Create a unified regulatory framework across Member States for the operation of local markets.

For your information:

• Pre-contractual Customer Information Document (only available in Greek) – It provides the required information to existing and prospective individual and professional clients as defined in MiFID ΙΙ, both natural and legal persons, for the provision of investment services.
• Investor Guide according to MiFID (only available in Greek) – Whether you are an existing or prospective investor in financial instruments, this guide explains the institutional framework for such markets, and how it affects your transactions with us.
• Annual information disclosure (only available in Greek) on the characteristics of execution venues and execution quality for trading in financial instruments.

To protect our investors, we are obliged to disclose information regarding our capital adequacy, according to Decision 9/459/27.12.2007 of the Hellenic Capital Market Commission.

Our financials are published on a consolidated basis by parent company Alpha Bank.