Regulations governing investment services and activities
In force from: 1 November 2007
Summary
These regulations govern investment firms' conduct towards clients and how they organise their operations. The principles for investment firms' activities contained in the Securities Market Act are also explained in the regulations. They are a result of the implementation in Sweden of EU Directive 2004/39/EC on Markets in Financial Instruments (MiFID) and contain the rules found in MiFID’s Implementing Directive.
The regulations also describe how an investment firm shall handle conflicts of interest and what they shall observe when entering an outsourcing agreement. They also regulate which information firms shall provide to and obtain from clients. The regulations also govern the best execution and handling of client orders.
The new regulations entered into force on 1 November 2007, at which time the following regulations were repealed:
- FFFS 2002:5 regarding securities operations FFFS 2002:6 governing the business plan for investment firms, etc.,
- FFFS 2002:7 governing rules of conduct on the securities market
- FFFS 2005:10 regarding the handling of conflicts of interest related to analysts at securities institutions.
Amendments
Regulations amending Finansinspektionen's regulations (FFFS 2007:16) governing investment services and activities.
FFFS 2011:41
Regulations regarding amendments to Finansinspektionen's Regulations (FFFS 2007:16) governing investment services and activities.
FFFS 2009:10
Regulations amending Finansinspektionen's regulations (FFFS 2007:16) governing investment services and activities
FFFS 2009:4
