FFFS 2014:1

Finansinspektionen’s Regulations and General Guidelines regarding governance, risk management and control at credit institutions

In force from 2014-04-01


Finansinspektionen is introducing new regulations on governance, risk management and control of credit institutions.

The regulations include, for example, requirements on independent control functions, internal rules, routines and procedures that the undertakings shall have to ensure good governance, risk management and control.

The new rules will go into effect on 1 April 2014.


Finansinspektionen introduces amendments under which credit institutions with securities business shall apply different sections of the regulations than they previously applied. The objective of the amendments is to adapt the regulations to the Delegated Regulation for MiFID 2.

The amendments enter into force on 3 January 2018.

FI is repealing Chapter 5, section 12 and also amending the section numbers as a result of this change. Amendment 2016:8

FI is implementing some of the Capital Requirement Directive's regulations on corporate governance and risk management, including requirements on application at group level and requirements on the establishment of a risk committee in significant undertakings. Undertakings shall also have a diversity policy and a recovery plan. Undertakings shall also set aside sufficient resources to train board members. The amendments enter into force on 2 August 2014. Amendment 2014:30



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