Your search for "Commission on Financial & Securities Compliance" resulted in 45 hits
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AI increasingly common in the financial sector, but risk management is lagging behind
- Bank
- Insurance
- Markets
- Published
- News
- Reports
- Fintech
- Payments
Published 2024-12-06 - AI increasingly common in the financial sector, but risk management is lagging behind
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Report: AI in the Swedish financial sector
on artificial intelligence (the AI Regulation) entered into force on 1 August 2024.2 It covers all sectors, including the financial sector.
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Stability in the Financial System (2024:1): A slightly better outlook in an uncertain environment
- Bank
- Insurance
- Markets
- Stability
- Published
- News
- Reports
- Payments
Published 2024-05-27 - Stability in the Financial System (2024:1): A slightly better outlook in an uncertain environment
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Stability in the Financial System
A widespread disruption to the financial system can threaten financial stability, which in turn could have an impact on Sweden’s security.
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FI Supervision 29: Advisors are not taking customers’ sustainability preferences into account
- Markets
- Consumer
- Published
- Reports
- Sustainability
- In-depth analysis
Published 2024-03-28 - "Consumers should have the option of making a decision on good grounds when they invest their money, and those who want to save sustainably should be able … We encourage firms to continue to devote special focus to this area and prioritise compliance with the rules, which are now almost two years old.
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FI Supervision 29: Sustainable advice is a challenge for firms
We will follow up on the firms’ compliance with the rules and promote implementation of necessary improvements.
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Open finance in Sweden
- Bank
- Insurance
- Markets
- Consumer
- Published
- News
- Reports
- Fintech
Published 2023-06-28 - Digitalisation introduces both opportunities and risks to the financial market. … After conducting a new survey, FI has noted that broader regulation on how customer data can be shared with third-party providers could make it easier
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The upcoming regulation on open finance announced by the EU Commission will take the next step3.
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Roadmap for sustainable finance
- Bank
- Insurance
- Markets
- Stability
- Published
- About FI
- Reports
- Sustainability
Published 2022-12-13 - In 2019, FI’s overarching mandate was expanded to include a responsibility to ensure that the financial system contributes to sustainable development.
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Roadmap for sustainable finance
We will highlight and focus on acute problems in the area through supervisory activities, but the review of the companies’ compliance primarily aims
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FI Supervision Report 23: Observations from anti-money laundering reporting
- Bank
- Insurance
- Markets
- Money laundering
- Published
- Reporting
- Reports
Published 2021-06-18 - FI has analysed and compared information that firms under FI’s money laundering supervision reported to the authority during the years 2018-2021. The analysis…
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FI Supervision Report 23: Observations from anti-money laundering reporting
Although banks consistently report on time, financial institutions do not, with a few financial institutions not submitting any reports at all.
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Consumer Protection Report 2021
- Bank
- Insurance
- Markets
- Consumer
- Published
- Reports
Published 2021-02-24 - FI sees a substantial risk that consumers will be offered complex financial savings products that are not suitable. … Deficiencies in the duty of care on the investment and insurance markets are the second consumer risk that is highlighted in the report.
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FI Supervision Report 21: Financial instruments with crypto-assets as underlying asset
- Markets
- Consumer
- Published
- Reports
- Fintech
Published 2021-02-22 - FI Supervision Report 21: Financial instruments with crypto-assets as underlying asset
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FI Supervision Report 21: Financial instruments with crypto-assets as underlying asset
The information that must be published is dependent on e.g. the type of issuer, the type of security, and whether or not the security will be offered
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Consumer Protection Report 2020
- Bank
- Insurance
- Markets
- Consumer
- Published
- Reports
Published 2020-02-14 - Finansinspektionen (FI) will prioritise two consumer protection risks for further work in 2020: unaffordable lending and unsuitable advice and distribution of financial
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Consumer Protection Report 2020
large commissions.
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FI’s work to combat money laundering and terrorist financing
- Bank
- Insurance
- Markets
- Money laundering
- Published
- Reports
Published 2019-11-18 - Finansinspektionen (FI) strengthened its anti-money laundering supervision in 2019, in part by dedicating considerable resources to reviewing major Swedish…
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FI’s work to combat money laundering and terrorist financing
into the compliance of one or several firms.
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FI Supervision 15: decreased transparency in bond trading
- Markets
- MiFID
- Published
- Reports
Published 2019-10-17 - Transparency on the Swedish bond markets has decreased. … of Finansinspektionen’s (FI) analysis of the impact of the transparency rules that were introduced when the Directive and the Regulation for the securities
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FI Supervision 15: New rules led to reduced transparency on the Swedish bond markets
confidence in the European securities markets.
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FI Supervision 9: Banks’ work on information and cyber security
- Bank
- Published
- Reports
- Fintech
Published 2018-12-07 - FI Supervision 9: Banks’ work on information and cyber security
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FI Supervision No. 9: Information and Cyber Security work in Banks
Infrastructures, the International Organisation of Securities Commissions (CPMI-IOSCO), the Financial Stability Board (FSB), the Group of 7 (G7), the
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FI Supervision 8: Governance and control of information and communication technology operations in insurance undertakings
- Insurance
- Published
- Reports
Published 2018-11-15 - As the digitalisation of the financial sector increases, creative innovations lead to new insurance products, business models and partnerships, which in … The scope and extent of ICT outsourcing agreements can have a large impact on an insurance undertaking's ability to overview and manage the consequences
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may have a material impact on their ability to carry out the outsourced functions and activities effectively and in compliance with applicable laws
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Integration of sustainability in corporate governance
- Markets
- Published
- Reports
- Financial Reporting
- Sustainability
Published 2018-11-07 - Sustainability-related risks and opportunities do not differ from the other risks and opportunities that can be linked to financial firms’ operations. … In this survey, FI studied how financial firms describe their management of sustainability aspects in corporate governance and how these aspects are integrated
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Report: Integration of Sustainability into Corporate Governance
The legislative history of the amendment2 and the guidelines on non-financial reporting3 that have been published by the European Commission provide
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Priorities in FI’s supervision to strengthen consumer protection
- Consumer
- Published
- Reports
- Financial Literacy
Published 2018-03-27 - Finansinspektionen (FI) presents in this report the risks consumers are facing on the financial market and that FI is prioritising in its supervision.
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Report: Priorities in FI’s supervision to strengthen consumer protection
For many years, FI has been focussing on the conflicts of interest that arise when a firm accepts commissions in conjunction with the provision of financial
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Consumer Protection on the Financial Market (2017)
- Consumer
- Published
- Reports
Published 2017-05-11 - Consumer Protection on the Financial Market (2017)
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Supervision of the banks
- Bank
- Stability
- Published
- Reports
Published 2017-04-20 - The Swedish banking system is dominated by the four systemically important banks which have a major impact on financial stability, and are thus subject … These risks place increased demands on the banks' information security.
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Report: Supervision of the banks (2017)
and compliance functions.
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FI Analysis 7: Leverage ratio as a minimum requirement reduces banks’ buffers
- Bank
- Stability
- Published
- Reports
Published 2016-11-10 - A leverage ratio requirement could contribute positively to financial stability during normal conditions in that it increases the robustness of banks'
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FI Analysis 7: Leverage ratio as a minimum requirement reduces banks’ buffers
“Exposure amount” corresponds to a bank’s assets on its balance sheet adjusted for derivative exposures, securities financing and cer- tain off-balance
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Consumer Protection on the Financial Market (2016)
- Consumer
- Published
- Reports
Published 2016-08-18 - Consumer Protection on the Financial Market (2016)
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Report: Consumer Protection on the Financial Market (2016)
ON THE FINANCIAL MARKET FINANCIAL ADVICE Right products for the right target group According to the new MiFID regulations, securities companies that
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Terrorism financing
- Money laundering
- Published
- Reports
Published 2016-03-17 - In an effort to become more knowledgeable, Finansinspektionen commissioned a report from the Center for Asymmetric Threat Studies (CATS) on the threat … It also includes a section on the models used in Canada and the UK to counteract, detect and prevent the financing of terrorism.
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Finansiering av terrorism
- Money laundering
- Published
- Reports
Published 2016-03-15 - Rapporten innehåller bland annat tillvägagångssätt och metoder för finansiering av terrorism.
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Climate changes and financial stability
- Stability
- Published
- Reports
- Sustainability
Published 2016-03-08 - Climate changes and financial stability
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Climate change and financial stability (Report in English)
The effects of climate change on financial stability, with particular reference to Sweden
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Crowdfunding in Sweden
- Consumer
- Published
- Reports
Published 2015-12-15 - Alternative forms of funding can have a positive effect on the competition in and efficiency of the financial market by enabling more projects to find
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Report: Crowdfunding in Sweden
A financial instrument is a transferable security, i.e. a security that can be traded on the capi- tal market.
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Supervision of insurance undertakings
- Insurance
- Published
- Reports
Published 2015-06-18 - This report focuses on the first of the above-mentioned primary objectives.
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Report: Supervision of insurance undertakings
When the value of liabilities increases while at the same time return on fixed-income securities decreases, the financial position of an undertaking
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Stability in the financial system
- Stability
- Published
- Reports
Published 2015-06-09 - Stability in the financial system
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Report: Stability in the financial system
Payments and Market Infrastructures (CPMI) and Inter- national Organization of Securities Commissions (IOSCO) 31 For further information, see ‘Supervision
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Supervision of the securities market
- Markets
- Published
- Reports
Published 2015-03-26 - Supervision of the securities market
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Report: Supervision of the securites market 2015
on Developments on the securities market).
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Enforcement of financial information
- Published
- Reports
Published 2014-10-15 - Enforcement of financial information
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Enforcement of financial information
INFORMATION FUTURE ENFORCEMENT OF FINANCIAL INFORMATION On 26 November 2013, the EU Commission decided on amendments to the Transparency Directive.
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Consumer protection on the financial market
- Consumer
- Published
- Reports
Published 2014-05-15 - Consumer protection on the financial market
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Report: Consumer protection on the financial market
) and ESMA (European Securities and Markets Authority). 5 The updating of the Directive on Markets in Financial Instruments 2, Mifi d 2 introduces
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Risks in the financial system 2013
- Bank
- Insurance
- Stability
- Published
- Reports
Published 2013-11-14 - Risks in the financial system 2013
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Supervision Report 2013
- Bank
- Insurance
- Markets
- Consumer
- Published
- Reports
Published 2013-05-28 - Many of the development trends in today’s financial markets raise important issues for FI. … For consumers, greater mobility and increasingly complex financial products represent not only more opportunities but also higher risks.
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Since some products generate higher commissions than others, distributors face financial incentives to give advice based on the size of the commission
