Bucharest, 14 December 2022 - In November 2022, the Council of the Financial Supervisory Authority adopted several decisions sanctioning entities/persons operating in the non-banking financial market for violation of certain provisions of the relevant legislation.
CAPITAL MARKET
SSIF VOLTINVEST S.A. - Following the results of a periodic inspection of SSIF Voltinvest S.A., the following sanctions/measures were imposed:
At the same time, a plan of measures was imposed on the company to remedy some identified deficiencies/situations.
The main deficiencies identified concerned aspects of operational risk management related to IT systems and the procedural/organizational framework.
PRIVATE PENSION
BCR S.A., as a private pension intermediary, was sanctioned with a written warning after identifying deficiencies in operational processes related to the marketing of private pension funds.
Generali Societate de Administrare a Fondurilor de Pensii Private S.A.
Following the results of an unannounced inspection at Generali Societate de Administrare a Fondurilor de Pensii Private S.A., the following measures were ordered:
The main deficiency found concerned operational activity.
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