General Non-Regulated Activity Statement
PFINTEKON provides exclusively non-regulated corporate advisory services (ancillary corporate-finance advisory to undertakings under MiFID II Annex I, Section B).
All references on this website to evaluations, valuation benchmarking, negotiation support, administrative coordination of due diligence, or transaction coordination are strictly limited to strategic, preparatory, and internal advisory activities.
PFINTEKON does not:
Provide investment advice as defined under Directive 2014/65/EU (MiFID II) and Greek Law 4514/2018
Place, market, promote, or solicit investments in financial instruments
Execute or arrange or negotiate transactions in financial instruments
Receive or transmit client orders
Manage client money or client assets
Issue fairness opinions or regulated valuations
Produce investment research or financial promotions
Reference Notes
Strategic Services
• Benchmark valuation assessments and financial scenario modeling (non-opinion, non-reliance)
• Support in preparing negotiation frameworks (no advice on price or terms)
• Administrative coordination of due-diligence processes and third-party reviews (PFINTEKON does not conduct legal/financial/tax due diligence or opine on it)
• Assistance in Preparation of corporate materials for limited circulation (corporate activity teasers, presentations, CIMs) that are non-promotional and not intended for public distribution
• Sectoral, competitive and macroeconomic analysis
These activities are internal tools for strategic orientation and corporate activity. They are not investment recommendations, not binding, and not intended for reliance by investors.
Regulatory Boundaries
• PFINTEKON operates outside the scope of MiFID II / Law 4514/2018 regulated services
• Services are restricted to EU Professional Clients (MiFID II Annex II) or sectoral strategic operators with legitimate industrial objectives (business integration, synergies, succession)
• No activity constitutes investment advice, securities placement, arranging/negotiating transactions, order handling, investment research, or financial promotion
• All transaction terms, pricing, and counterparty decisions remain solely the responsibility of the client
Professional Client Restriction
Services are provided exclusively to:
• EU Professional Clients within the meaning of MiFID II Annex II; or
• Sectoral strategic operators pursuing acquisitions, partnerships, or integrations for business purposes.
PFINTEKON does not provide services to retail clients, passive financial investors, or parties seeking investment returns from listed securities.
U.S. Person Exclusion
No service, document, or material provided by PFINTEKON shall be addressed to or relied upon by any U.S. Person, as defined under Regulation S of the U.S. Securities Act of 1933 and Internal Revenue Code Section 7701(a)(30). No content may be distributed in, into, or for the benefit of persons in the United States or its territories.
Client Responsibility
The Client acknowledges and confirms that:
• It has independently initiated any contact with PFINTEKON
• It will rely on its own legal, financial, tax, and investment advisors for any transactional decision
• It remains solely responsible for determining transaction terms, valuations, and counterparties
• PFINTEKON acts only as a strategic coordinator/facilitator, not as an agent, representative, mandate bearer, broker, or negotiator
Limitations of Information
All information and materials provided:
• Are for informational and corporate advisory purposes only
• Do not constitute investment advice, solicitation, or financial promotion
• Relate solely to non-listed companies and corporate strategic transactions
• Are based on client-provided and/or publicly available data only
• Are intended solely for internal strategic assessment and are not for reliance by investors
• Are not guaranteed as complete, accurate, or exhaustive
• Must not be distributed or relied upon as securities offerings or financial promotions
Regulatory Alignment
This disclaimer is issued in compliance with:
• Directive 2014/65/EU (MiFID II)
• Greek Law 4514/2018
• ESMA guidance on investor protection and the definition of investment advice
• HCMC expectations for non-regulated “haut de bilan”/corporate-finance advisory to undertakings
PFINTEKON maintains internal procedures to ensure services remain strictly within the non-regulated corporate-advisory perimeter, consistent with ESMA and HCMC supervisory expectations.
Counselling Team
We collaborate with independent audit, tax and legal experts and bring together an all weather team to ensure full compliance with all relevant financials, tax and legal requirements. This is our (“Counselling Team”). Where a matter would fall within a regulated perimeter, it would be managed by our Counselling Team.
The Client may and should engage appropriately authorised firms under separate terms to obtain proper advice on all regulated matters he may be in need of, including investment advice, tax advice, and legal advice.
Any such regulated advice is provided independently of PFINTEKON. PFINTEKON does not provide, supervise or assume responsibility for regulated services and does not hold client money or assets.
