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Your search for "Charterhouse Wealth Management" resulted in 241 hits

• Fysisk person får särskild avgift för försenade anmälningar av korta nettopositioner

  • Published
  • Sanctions

  Published 2025-01-30 - AA ska betala en särskild avgift med 1 500 000 kronor för underlåtenhet att inom föreskriven tid anmäla till Finansinspektionen att AA:s korta nettopositioner…

• Beslut FI dnr 24-18471
• Klarna receives a remark and an administrative fine

  • Money laundering
  • Published
  • Sanctions
  • News
  • Payments

  Published 2024-12-11 - FI is issuing Klarna Bank AB (Klarna) a remark and an administrative fine of SEK 500 million for violating the anti-money laundering regulations.

• Klarna receives a remark and an administrative fine
• Lakota Management AB får sanktionsavgift för sen insynsanmälan

  • Published
  • Sanctions

  Published 2024-10-16 - Lakota Management AB ska betala en sanktionsavgift på 60 000 kronor för att ha underlåtit att anmäla

• Beslut FI dnr 24-10547
• Beslut FI dnr 24-10547_Redacted.pdf
  • Published
  • Sanctions

  Published 2024-10-16 - 1(4) 2024-10-11 Beslut Lakota Management AB FI dnr 24-10547 Delgivning nr 2
• Aros receives warning and administrative fine

  • Bank
  • Money laundering
  • Published
  • Sanctions

  Published 2023-12-13 - FI has investigated Aros Kapital's compliance in a number of areas, such as Aros' credit risk management
• Fysisk person döms att betala sanktionsavgift för insiderhandel i Agtira

  • Markets
  • Published
  • Sanctions
  • Market abuse

  Published 2023-09-18 - AA har dömts av Stockholms tingsrätt att betala en sanktionsavgift för insiderhandel. Finansinspektionen hade utfärdat ett sanktionsföreläggande som AA inte…

• Tingsrättens dom
• Dom i mål nr B 4526-23
  • Markets
  • Published
  • Sanctions
  • Market abuse

  Published 2023-09-18 - Management AB (SPWM).
• My Change Scandinavia receives an injunction to cease its operations

  • Money laundering
  • Published
  • Sanctions
  • Payments

  Published 2023-05-26 - Finansinspektionen is issuing an injunction to My Change Scandinavia AB (My Change) to cease its currency exchange operations. It shall have ceased its…

• Decision: Injunction to cease operations
• Decision: Injunction to cease operations - My Change Scandinavia AB
  • Money laundering
  • Published
  • Sanctions
  • Payments

  Published 2023-05-26 - The circumstance that My Change has not even had the most fundamental risk management mechanisms in
• Decision: Remark and administrative fine - Swedbank AB
  • Bank
  • Published
  • Sanctions

  Published 2023-03-30 - According to this change management process, all changes in the bank’s IT production environment must
• Swedbank receives a remark and an administrative fine

  • Bank
  • Published
  • Sanctions

  Published 2023-03-15 - Swedbank is being issued a remark and must pay an administrative fine of SEK 850 million.

• Decision: Remark and administrative fine – Swedbank AB
• Länsförsäkringar Bank recieves a remark and must pay an administrative fine

  • Bank
  • Money laundering
  • Published
  • Sanctions

  Published 2022-12-14 - , procedures and guidelines for model risk management and validation, and procedures and guidelines for
• Dom i mål nr 15244-21
  • Published
  • Sanctions

  Published 2022-12-12 - Coeli Asset Management AB har tillstånd som förvaltare av alternativa investeringsfonder.
• Dom i mål 15228-21
  • Published
  • Sanctions

  Published 2022-12-12 - med Coeli Asset Management AB avseende Bolagets ledning och förvaltning.
• SIP Nordic Fondkommission receives a warning and an administrative fine

  • Markets
  • Consumer
  • Published
  • Sanctions

  Published 2022-11-18 - this not being allowed, and it did not identify or manage a clear conflict of interest relating to management
• Celina Fondförvaltning receives warning and administrative fine

  • Markets
  • Consumer
  • Published
  • Sanctions

  Published 2022-11-16 - Celina or the company) has authorisation to conduct fund operations and discretionary portfolio management
• Fysisk person får sanktionsavgift för marknadsmanipulation i Aino Health

  • Markets
  • Published
  • Sanctions
  • Market abuse

  Published 2022-09-20 - AA har handlat med aktier i bolaget Aino Health AB på ett sätt som kan förväntas ha gett falska eller vilseledande signaler om tillgång, efterfrågan eller…

• FI:s beslut om sanktionsavgift
• Sanktionsföreläggande enligt lagen (2016:1306) med kompletterande bestämmelser till EU:s marknadsmissbruksförordning
  • Markets
  • Published
  • Sanctions
  • Market abuse

  Published 2022-09-20 - a-aino-health-22-6612.pdf
• Decision - Trustly Group AB
  • Bank
  • Money laundering
  • Published
  • Sanctions

  Published 2022-09-19 - company’s monitoring, Finansinspektionen also requested the company’s procedures for model risk management
• Nordnet Bank receives a remark and an administrative fine

  • Bank
  • Markets
  • Consumer
  • Published
  • Sanctions

  Published 2022-05-25 - The bank also does not meet the requirements on internal guidelines and procedures and on risk management

• Nordnet Bank receives a remark and an administrative fine
• Nordnet Bank receives a remark and an administrative fine
  • Bank
  • Markets
  • Published
  • Sanctions

  Published 2022-05-24 - also not fulfilled the requirements that apply to internal guidelines and procedures and to risk management
• Voleon Capital Management får sanktionsavgift för sen blankning i Oasmia Pharmaceutical och Catena Media

  • Published
  • Sanctions

  Published 2022-03-30 - Voleon Capital Management LP ska betala en särskild avgift på 100 000 kronor för underlåtenhet att på

• FI:s beslut om sanktionsavgift
• Sanktionsavgift enligt lagen (1991:980) om handel med finansiella instrument
  • Published
  • Sanctions

  Published 2022-03-30 - 1(6) 2022-03-29 B E S L U T Voleon Capital Management LP FI Dnr 20-29840 Att: Chief Executive
• Lazard Asset Management får sanktionsavgift för sen flaggning i Karnov Group AB (publ)

  • Published
  • Sanctions

  Published 2022-03-23 - Lazard Asset Management LLC ska betala en sanktionsavgift med 185 000 kronor för att för sent ha anmält

• FI:s beslut om sanktionsavgift
• Sanktionsavgift enligt lagen (1991:980) om handel med finansiella instrument
  • Published
  • Sanctions

  Published 2022-03-23 - 408 980 00 finansinspektionen@fi.se www.fi.se 2022-03-23 B E S L U T Lazard Asset Management
• Trustly Group receives warning and administrative fine

  • Bank
  • Money laundering
  • Published
  • Sanctions

  Published 2022-02-22 - Trustly Group AB is receiving a warning and must pay an administrative fine of SEK 130  million. The company is also ordered to address certain deficiencies.

• Decision: Trustly Group AB
• Warning and administrative fine
  • Insurance
  • Published
  • Sanctions

  Published 2021-08-24 - The risk management committee, and thus also the risk management function, has consisted of five persons
• Jupiter Investment Management får avgift för sen blankningsanmälan i tio olika emittenter

  • Published
  • Sanctions

  Published 2021-06-28 - Jupiter Investment Management Limited ska betala en särskild avgift på 700 000 kronor för att för sent

• FI:s beslut om särskild avgift för Jupiter Investment Management
• Särskild avgift enligt lagen (2012:735) med kompletterande bestämmelser till EU:s blankningsförordning
  • Published
  • Sanctions

  Published 2021-06-28 - 2021-06-24 B E S L U T Jupiter Investment Management Limited FI Dnr 18-3251 Att: Chief Executive
• Maiden Life receives warning and administrative fine

  • Insurance
  • Published
  • Sanctions

  Published 2021-06-23 - outsourced operations, independence in key functions, conflicts of interest and sound and prudent management

• FI's decision on Maiden Life Försäkrings AB