Decizii de sancționare și alte măsuri adoptate de Consiliul ASF în luna septembr

The fines—including a RON 367,600 penalty against BRD Asigurări de Viață and RON 19,300 against Duplex—show that reporting deadlines and operational governance are not administrative afterthoughts. Investment firms Prime Transaction and Share Invest, plus Opes Family Office, faced measures linked to record retention, personal transactions, KYC, internal audit and OCSI annual reporting. For compliance teams, the message is to test calendar controls for statutory filings, evidence auditor reports, and ensure personal-dealing and KYC procedures are documented and monitored.

Firms should review record-retention arrangements, internal audit plans and annual activity reporting, especially where multiple entities share group processes. Insurance and investment-services firms should map the cited deficiencies to their own control frameworks and remediate before supervisory review. No new rule changes are announced, but enforcement risk is live.