Your search for "Cohen" resulted in 23 hits
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Handelsbanken receives a remark and is ordered to pay an administrative fine
- Bank
- Published
- Sanctions
Published 2015-05-19 - Handelsbanken has not complied with the money laundering rules. The bank has not conducted risk assessments for all of its customers or obtained sufficient…
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FI's decision regarding Handelsbanken
party engaged in activities has concerning customers, their business and risk profiles and, if necessary, where the customer's financial resources come
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Nasdaq Stockholm receives a remark and an administrative fine
- Markets
- Published
- Sanctions
Published 2024-06-19 - Finansinspektionen has decided to issue Nasdaq Stockholm Aktiebolag a remark and an administrative fine of SEK 100 million.
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Decision: Remark and administrative fine
In general, high requirements must be placed on financial firms when it comes to following the rules that apply to the operations.
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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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NGM's licence reinstated
- Markets
- Published
- Sanctions
Published 2008-12-02 - The Stockholm County Administrative Court has decided that NGM's licence to operate a regulated market and trading facility shall not be revoked. NGM shall…
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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 has been in violation of the international financial reporting standard IFRS 10 in its consolidated financial statements for 2017 by not including –…
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Decision: Caution and order of correction
The Code supplements legislation and other rules by establishing a standard for good corporate governance.
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Nordea receives a warning and is ordered to pay the maximum administrative fine
- Bank
- Published
- Sanctions
Published 2015-05-19 - There have been major deficiencies in Nordea's work to prevent money laundering. This means there is a high probability that if people have tried to launder…
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FI's decision regarding Nordea
Moreover Nordea had not clearly explained how it had come about that the Bank had failed to 1 SWIFT
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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.
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Trustly has described this service as one of the company’s core products.
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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.
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Decision: Remark and administrative fine – Swedbank AB
The information in the matter come from the auditor’s report, Swedbank’s statements, incident report and internal review of the incident, as well as
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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…
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Decision: Injunction to cease operations
When it comes to My Change’s noted lack of a general risk assessment during the investigation period, My Change said that a general risk assessment
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Nasdaq Clearing Aktiebolag receives a warning and an administrative fine
- Markets
- EMIR
- Published
- Sanctions
Published 2021-01-27 - Nasdaq Clearing Aktiebolag is receiving a warning and must pay an administrative fine of SEK 300 million.
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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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Nasdaq Clearing Aktiebolag receives a remark and an administrative fine
- Published
- Sanctions
Published 2016-12-13 - Finansinspektionen is issuing Nasdaq Clearing Aktiebolag a remark. Nasdaq Clearing Aktiebolag shall also pay an administrative fine of SEK 25,000,000.
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Remark and administrative fine - Nasdaq Clearing Aktiebolag
The company’s infringement cannot be considered to be insignificant and no reasons have come to light to treat the infringements as excusable, either.
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Nasdaq Stockholm Aktiebolag receives a remark and an administrative fine
- Published
- Sanctions
Published 2016-12-13 - Finansinspektionen is issuing Nasdaq Stockholm Aktiebolag (556420-8394) a remark. Nasdaq Stockholm Aktiebolag shall also pay an administrative fine of SEK…
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Remark and administrative fine - Nasdaq Stockholm Aktiebolag
The company’s infringement cannot be considered to be insignificant and no reasons have come to light to treat the infringements as excusable, either.
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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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It is obvious in any case that the parent bank and a subsidiary bank cannot have conflicting interests when it comes to combating money laundering and
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JM får en erinran och föreläggande att redovisa enligt reglerna
- Markets
- Published
- Sanctions
- Financial Reporting
Published 2020-05-20 - JM har brutit mot den internationella redovisningsstandarden IFRS 10 i sin koncernredovisning för 2017 genom att inte ta med − konsolidera −…
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Beslut: Erinran och föreläggande att göra rättelse
Förvaltningsrättens dom (2021-10-26)
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Norges Bank får sanktionsavgift för sen flaggning i Com Hem Holding
- Published
- Sanctions
Published 2018-09-27 - Norges Bank ska betala en sanktionsavgift på 50 000 kronor för att för sent ha anmält att sitt innehav av aktier och röster i Com Hem Holding AB överstigit en…
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FI:s beslut om sanktionsavgift för Norges Bank
Com Hem Holding AB är ett svenskt aktiebolag vars aktier är upptagna till handel på en reglerad marknad.
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Nasdaq Clearing Aktiebolag får anmärkning och sanktionsavgift
- Published
- Sanctions
Published 2016-12-13 - Nasdaq Clearing Aktiebolag får en anmärkning och ska betala en sanktionsavgift på 25 000 000 kronor.
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FI:s beslut om anmärkning och sanktionsavgift för Nasdaq Clearing Aktiebolag
Förvaltningsrättens dom (2018-05-03)
Kammarrättens beslut (2018-12-18)
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Consonance Capital Management, 80 000 kronor
- Markets
- Published
- Sanctions
Published 2015-05-07 - Consonance Capital Management LP ska betala särskild avgift med 80 000 kronor för underlåtenhet att inom föreskriven tid anmäla att en kort nettoposition i…
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FI:s beslut om särskild avgift för Consonance Capital Management
Jurist 08-787 80 40 4(1) FI Dnr 15-2105 SUMMARY IN ENGLISH By a decision made on 6 May, 2015, Finansinspektionen has decided that Con
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LF Bank får anmärkning och straffavgift
- Bank
- Published
- Sanctions
Published 2012-02-16 - Länsförsäkringar Bank (LF Bank) har haft brister i sin interna styrning och kontroll. Banken får därför en anmärkning och ska betala en straffavgift på 10…
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FI:s beslut om anmärkning och straffavgift för LF Bank
nansinspektionen i 5 kap. 2 § de allmänna råden om styrning och kontroll nansiella företag angett att styrelsen bör se till att det finns en funktion (com
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Case får varning och straffavgift
- Markets
- Published
- Sanctions
Published 2011-11-10 - Värdepappersbolaget Case Asset Management har inte hanterat intressekonflikter i verksamheten, haft bristande kontrollfunktioner och gjort felaktiga…
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FI:s beslut om Case Asset Management
Finansinspektionen har uppmärksammat att bolaget för fondernas räkning har gjort placeringar i form av penninglån till A-Com AB (nedan A-Com), Arvid
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Zoncolan ASA får betala särskild avgift för sen flaggning
- Markets
- Published
- Sanctions
Published 2009-05-18 - Zoncolan ASA ska betala särskild avgift med 50 000 kronor för överträdelse av skyldigheten att anmäla ändring av sitt innehav i A-Com AB.
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Beslut om särskild avgift för Zoncalan
Finansinspektionen has decided that you shall pay a fee of SEK 50,000 for the late reporting of change in shareholdings in A-Com AB.
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Trygg-Hansa får straffavgift på 5 miljoner kronor
- Insurance
- Published
- Sanctions
Published 2009-05-27 - Trygg-Hansa Försäkringsaktiebolag har brustit i sin interna styrning och kontroll samt i sin rapportering till Finansinspektionen. Försäkringsbolaget får…
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FI:s sanktionsbeslut om Trygg-Hansa
Styrningskommittéerna Codangruppens fem gemensamma styrningskommittéer var benämnda Risk Committee, Transaction Committee, Investment Committee, Disclosure Com
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FI återkallar NGM:s tillstånd
- Markets
- Published
- Sanctions
Published 2008-10-01 - Finansinspektionen återkallar tillståndet för Nordic Growth Market (NGM) att som börs driva reglerad marknad och handelsplattform. Beslutet gäller omedelbart.
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FI:s beslut att återkalla NGM:s tillstånd
2008-11-28: Länsrätten beslutar att NGM återfår börstillstånd
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FI återkallar Michael Östlund & Company Fondkommissions tillstånd att bedriva värdepappersrörelse
- Markets
- Published
- Sanctions
Published 2007-04-25 - FI återkallar Michael Östlund & Company Fondkommissions tillstånd att bedriva värdepappersrörelse
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FI:s beslut om återkallelse av tillstånd
The Sovereign Group är ett ”private Com- pany, offshore” och dess anställda och aktieägare kan inte bli föremål för of- fentlig kontroll.