Your search for "Commission on Financial & Securities Compliance" resulted in 85 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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Updated Q&A on reporting under the Anti-Money Laundering Act
- Bank
- Insurance
- Markets
- Money laundering
- Published
- Reporting
- News
- Payments
Published 2024-12-02 - Updated Q&A on reporting under the Anti-Money Laundering Act
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FAQs – periodic reporting in accordance with the Anti-Money Laundering Act
Third countries, identified by The European Commission with strategic deficiencies in their AML/CFT regimes that pose significant threats to the financial
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Omställningsplaner allt viktigare för aktörer på finansmarknaden visar ny internationell rapport
- Markets
- Published
- News
- IOSCO
- Sustainability
Published 2024-11-13 - engagerade i andra arbetsgrupper som arbetar med omställningsplaner, till exempel de europeiska tillsynsmyndigheterna (Esorna), Network for Greening the Financial … System (NGFS) och Financial Stability Board (FSB).
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Ioscos rapport om omställningsplaner (eng)
of Securities Commissions 2024.
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Nasdaq Stockholm receives a remark and an administrative fine
- Markets
- Published
- Sanctions
Published 2024-06-19 - Finansinspektionen also investigated whether Nasdaq Stockholm, on two occasions in 2022 and 2023, initiated trading in financial instruments on Nasdaq … The investigations also show that Nasdaq Stockholm on two occasions initiated trading in financial instruments in violation of the regulatory framework
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Decision: Remark and administrative fine
Commission Delegated Regulation (EU) 2017/5658 mentions specifically normal trading patterns for financial instruments admitted to trading on a trading
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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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Large Swedish banks show resilience in EU stress test
- Bank
- Published
- News
- EBA
Published 2021-08-02 - The five largest Swedish banks are resilient and have the ability to withstand a sharp deterioration in market conditions, based on the stress test conducted
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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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FI’s approach to assess suitable level of own funds in Swedish banks (Pillar 2 guidance)
- Bank
- Capital requirements
- Published
- Memos & decisions
Published 2021-05-31 - FI has decided on a general approach to assess the size of a bank’s so-called Pillar 2 guidance. … The approach is based on a two-step assessment that starts with a sensitivity-based stress test.
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Decision memondarum: General approach to assessing Pillar 2 guidance for Swedish banks
FI proposes approach to assess Pillar 2 guidance for Swedish banks
FI has decided on a change in the application of banks’ capital requirements
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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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Finansinspektionen’s prioritised areas for 2021
- Bank
- Insurance
- Markets
- Money laundering
- Consumer
- Stability
- Published
- About FI
- Memos & decisions
- Sustainability
- Coronavirus
Published 2021-02-05 - This year, we will have a major focus on consumer protection. … FI will also focus on advisory services and the sale of financial products, both securities and insurance policies, and look more closely that firms are
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Memorandum: Finansinspektionen’s (FI) prioritised areas for 2021
non-compliance.
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Nasdaq Clearing Aktiebolag receives a warning and an administrative fine
- Markets
- EMIR
- Published
- Sanctions
Published 2021-01-27 - Following the declaration of default for one of Nasdaq Clearing's clearing members on 11 September 2018, Finansinspektionen investigated Nasdaq Clearing's … the financial system.
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FI:s decision: Warning and administrative fine - Nasdaq Clearing Aktiebolag
Clarification of Finansinspektionen's sanction decision against Nasdaq Clearing AB (2021-01-29)
The ruling by the Administrative Court (In Swedish) (2021-12-22)
The ruling by the Administrative Court of Appeal (In Swedish) (2022-11-30)
The decision of the Supreme Administrative Court (In Swedish) (2023-10-27)
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FI has decided on a change in the application of banks’ capital requirements
- Bank
- Capital requirements
- Stability
- Published
- Memos & decisions
Published 2020-11-20 - FI has decided on a change in the application of banks’ capital requirements
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Memorandum: New capital requirements for Swedish banks
In addenda, the European Commission has, on the basis of the action plan for creating a capital markets union, taken the initiative to introduce changes
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SEB receives remark and administrative fine of SEK 1 billion
- Bank
- Money laundering
- Published
- Sanctions
Published 2020-06-25 - SEB receives a remark and must pay an administrative fine of SEK 1 billion for deficiencies in its work to prevent money laundering risks.
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JM receives a caution and an order to follow financial reporting rules
- Markets
- Published
- Sanctions
- Financial Reporting
Published 2020-05-20 - JM receives a caution and an order to follow financial reporting rules
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Decision: Caution and order of correction
the European Commission in accordance with the IAS Regulation.
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Swedbank receives a warning and an administrative fine of SEK 4 billion
- Bank
- Money laundering
- Published
- Sanctions
Published 2020-03-19 - Swedbank AB receives a warning and must pay an administrative fine of SEK 4 billion for serious deficiencies in its work to combat money laundering.
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one of its duties was to combat financial crime and money laundering.
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Swedbank får varning och fyra miljarder kronor i sanktionsavgift
- Bank
- Money laundering
- Published
- Sanctions
Published 2020-03-19 - Swedbank AB får en varning och ska betala en sanktionsavgift på fyra miljarder kronor för allvarliga brister i arbetet att motverka penningtvättsrisker.
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Innan AFC etablerades fanns den koncerngemensamma enheten Group Security Investigations (GSI) som etablerades under år 2017.
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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 internationella arbete
- About FI
Published 2025-01-02 - FI deltar aktivt i det internationella tillsynssamarbetet såväl globalt som inom EU och i Norden. Sammanlagt deltar medarbetare på FI i omkring 140 olika…
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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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Liquidity coverage ratio requirements and diversification of the liquidity buffer
- Bank
- Stability
- Published
- Memos & decisions
Published 2019-10-02 - FI presents its view on the specific requirements for liquidity coverage ratios in individual currencies. … FI will apply this approach to its supervision of banks belonging to Supervision Categories 1 and 2 on 1 October 2019.
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the financial system.
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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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Insider lists
- Markets
Published 2025-01-15 - Issuers on a regulated market or a multilateral trading facility (MTF) shall continually maintain a list of persons who have access to inside information
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Rapportera i tid – undvik sanktionsavgift
- Markets
- Published
- Reporting
- News
- Market abuse
Published 2018-09-25 - Samtliga verkställande direktörer för de cirka 1 000 bolag som är noterade på en reglerad marknad eller en så kallad multilateral handelsplattform…
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FI:s brev till bolag som är noterade på en reglerad marknad
FI:s brev till bolag som är noterade på en reglerad marknad (eng version)
FI:s brev till bolag som är noterade på en handelsplattform
FI:s brev till bolag som är noterade på en handelsplattform (eng version)
