FFFS 2014:4

Finansinspektionen’s Regulations and General Guidelines regarding the management of operational risks

In force from 2014-06-01


The regulations apply to credit institutions and investment firms and enter into force on 1 June 2014. They regulate, for example, the responsibility of the board of directors and the managing director and the managing of operational risks in the business, including with regard to procedures, legal risks, personnel, safety, procedures for approval and continuity management. The regulations also include requirements on the undertakings' securities business and currency trading.


Under the amendment, the methods and processes used to identify, measure and manage operational risks must also cover risks resulting from outsourcing agreements.

The amendments enter into force on 29 December 2020. Amendment 2020:31

According to the amendment, undertakings with authorisation to conduct clearing operations according to Chapter 19 of the Securities Market Act (2007:528) shall be covered by some of the provisions on continuity management set out in Chapter 5 of Finansinspektionen's regulations and general guidelines (FFFS 2014:4) regarding the management of operational risks.

The amendment also reinserts the second paragraph under Chapter 1, section, which had been removed by accident.

The amendments will enter into force on 1 March 2018. Amendment 2018:1

Finansinspektionen is amending the reference to provisions regarding outsourcing agreements.

The amendment enters into force on 3 January 2018.

FI is amending the scope to agree with the scope in the Credit Institutions and Securities Companies (Special Supervision) Act (2014:968). The amendments enter into force on 2 August 2014. Amendment 2014:31



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