The company may act as representative for more than one clients simultaneously and execute transactions in financial instruments for different clients, whereby it maynot charge the same fees or commissions or any other financial benefits to all clients.
The company or the Group may provide lead manager and public offering services to the issuer of a financial instrument and at the same time the company or the Group may proceed with the extension of loans to the issuer of such financial instrument or participate in such issuer's share capital
The company or the Group may provide lead manager services or advisory services for the public offering or the placement of financial instruments with or without guarantees and at the same time also provide portfolio management services to the issuing companies-clients, or participate in the pre-marketing of such initial public offering, or publish analysis for the offered for listing financial instruments or provide research for the issuing company.
During the provision of discretionary portfolio management services, the decisions related to the management of the portfolio of a specific client may adversely affect another client or it may give priority to the execution of transactions for some of its clients adversely affecting other clients
The company or the Group may offer lead manager or advisory for listing services simultaneously to two companies-clients, which may be operating in the same sector but may be competitors (this applies to cases of companies' mergers or acquisitions).
The Directors of the company or the Group (shareholders with stakes of over 5%, members of the Board of Directors, employees, co-operating entities or individuals, et. al.) may be accepting gifts of considerable value or fees or commissions other than the pre-defined and pre-agreed remuneration packages for their services, and which could be considered as means of special treatment of one client adversely affecting other clients.
The Directors of the company or the Group may acquire stakes or be involved in business activities or maintain personal relationships with a client that could potentially adversely affect other clients or they may act as representatives of clients for their investment accounts in order to execute brokerage transactions in order to ensure higher profits for some clients versus other clients.
The Directors of the company or the Group may participate simultaneously or sequentially in the provision of investment or investment-related services and in general in investment activities that may prove contrary to conflict of interests' management.
The Directors of the company or the Group that hold privileged information regarding financial instruments may engage in transactions in such instruments for their own benefit taking advantage of the information they have access to due to their professional activities or may use such privileged information for the benefit of one client adversely affecting other clients.
A financial analyst of the company or the Group may produce analysis- whether for external or internal use only - on the financial instruments issued by a specific company in which the financial analyst or an affiliated with him person may hold a stake equal to or more than 5% of the share capital of the issuing company.
The Directors of the company or the Group that are involved in Sales and Distribution, may receive further remuneration or may be offered special commissions for the promotion of specific investment services or the promotion of specific investment products.
The company or the Group may be receiving retrocessions for the sale of instruments (indicatively, sales commissions by issuers of financial instruments or sales commissions by co-operating mutual fund management companies or by co-operating stock brokerage companies).
The company or the Group may be promoting the distribution of financial instruments of a specific issuer whereas at the same time the company or the Group may be holding information (not publicly available) regarding the issuer due to the extension of loan facilities or to the provision of advisory services by another company of the Group to the specific issuer.
The company or the Group may be paying commissions or retainer fees to third parties for their inducement or intermediation for transactions in financial instruments without specifying the specific transaction.