NBG Capital has appointed Senior Executives (Registered Persons) in accordance with the Capital Market Institutions Regulations (CMIR) under its Arranging and Advising license.
Responsible for the overall management of the Company and for ensuring that all activities are conducted strictly within the scope of the CMA license. The CEO oversees governance, risk management and internal controls, supervises business operations and outsourced functions, and acts as the primary liaison with the Capital Market Authority.
Responsible for maintaining the Company's compliance and AML/CFT framework. This role oversees regulatory compliance, client onboarding and KYC processes, conflicts management and information barrier controls, and reports independently to the Board on compliance matters.
Responsible for the Company's financial management and prudential oversight. The CFO ensures compliance with CMA capital adequacy and financial reporting requirements, maintains accurate books and records, and oversees regulatory financial submissions and audit coordination.
Oversees the Company's arranging activities and ensures that all transaction-related services are conducted on a strictly non-execution basis and in accordance with CMA conduct requirements. The role includes supervision of transaction structuring, coordination processes and client documentation within the scope of the Arranging license.
Oversees the Company's advisory activities relating to securities and corporate finance. This role ensures that advisory services are provided on a non-discretionary basis, that suitability and documentation standards are maintained, and that functional separation from the Arranging activity is preserved in accordance with regulatory requirements.
