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Your search for "Commission on Financial" resulted in 17 hits

• 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

• 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
• 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.

• Remark and administrative fine - Nasdaq Clearing Aktiebolag

  This is dependent on how large the potential effects of the infringements in question could be on the financial system.
• Trig Social Media breached accounting rules

  • Markets
  • Published
  • Sanctions
  • Financial Reporting

  Published 2016-01-19 - Trig Social Media AB has, in an interim report, on a number of points neglected the provisions regarding periodic financial information.

• FI:s decision regarding Trig Social media

  a number of other standards, by the Commission pursuant to the IAS Regulation through Commission Regulation (EC) No 1725/2003 adopting certain international
• Resurs Bank receives a remark and an administrative fine

  • Bank
  • Published
  • Sanctions

  Published 2016-09-13 - FI has investigated Resurs Bank's compliance with the regulations regarding consolidated situations (previously financial groups) and how the bank has

• Finansinspektionen’s decision on Resurs Bank

  Articles 5 and 6 of Commission Implementing Regulation2 state that such reporting shall occur on a quarterly basis.
• Skandiabanken: adverse remark issued and administrative fine of SEK 10 million imposed

  • Bank
  • Published
  • Sanctions

  Published 2014-06-26 - The bank has not complied with the rules applicable for receiving commission nor dealt with conflicts of interest in the correct manner.

• FI:s decision about Skandiabanken

  or of the transaction that is carried out on behalf of the customer, which is different from the customer's interest; - has a financial or other reason
• Trustly Group receives warning and administrative fine

  • Bank
  • Money laundering
  • Published
  • Sanctions

  Published 2022-02-22 - As a result, the risk that it has been possible to use Trustly and the financial system for money laundering and terrorist financing has increased The … deficiencies have been of such a nature that FI assesses there to be grounds on which to intervene against Trustly.

• Decision: Trustly Group AB

  (Commission) has identified as a high-risk third country.
• AK Nordic AB receives a remark and an administrative fine

  • Bank
  • Published
  • Sanctions

  Published 2020-10-14 - The investigation shows that the company was in violation of the regulations on repeated occasions during the period in question. … In this case, however, there has not been any concrete injury, and the risk of ramifications for the financial system has been small.

• FI:s decision (Summary)

  In this case, however, there has not been any concrete injury, and the risk of ramifications for the financial system has been small.
• Maiden Life receives warning and administrative fine

  • Insurance
  • Published
  • Sanctions

  Published 2021-06-23 - The deficiencies have been of such a nature that Finansinspektionen assesses there to be grounds on which to intervene against Maiden Life.

• FI's decision on Maiden Life Försäkrings AB

  The Commission, for example, has adopted Commission Delegated Regulation (EU) 2015/35 of 10 October 2014 supplementing Directive 2009/138/EC of the European
• 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.

• Decision: remark and administrative fine

  Decision: order of correction
• 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

• Decision: Caution and order of correction

  the European Commission in accordance with the IAS Regulation.
• 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.

• FI's decision

  On 19 April 2017, Swedbank’s CEO decided to create a Group unit to combat financial crime and money laundering (GSI).
• 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.

• 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)
• Nord Fondkommission AB:s tillstånd återkallas

  • Markets
  • Consumer
  • Published
  • Sanctions

  Published 2021-10-13 - Finansinspektionen (FI) återkallar värdepappersbolaget Nord Fondkommission AB:s (Nord) samtliga tillstånd på grund av allvarliga brister i bland annat…

• Beslut om återkallelse av tillstånd för Nord Fondkommission AB

  Förvaltningsrättens dom (2023-02-13)

  Kammarrättens beslut (2023-04-06)
• Nasdaq Clearing Aktiebolag får varning och sanktionsavgift

  • Markets
  • EMIR
  • Published
  • Sanctions

  Published 2021-01-27 - Nasdaq Clearing Aktiebolag får en varning och ska betala en sanktionsavgift på 300 miljoner kronor.

• Beslut om varning och sanktionsavgift för Nasdaq Clearing Aktiebolag

  Förtydligande av FI:s sanktionsbeslut mot Nasdaq Clearing (2021-01-29)

  Förvaltningsrättens dom (2021-12-22)

  Kammarrättens dom (2022-11-30)

  Högsta förvaltningsdomstolens beslut (2023-10-27)
• SEB får anmärkning och en miljard kronor i sanktionsavgift

  • Bank
  • Money laundering
  • Published
  • Sanctions

  Published 2020-06-25 - SEB får en anmärkning och ska betala en sanktionsavgift på 1 miljard kronor för brister i arbetet att motverka penningtvättsrisker.

• FI:s beslut om Beslut om anmärkning och sanktionsavgift

  FI:s beslut om föreläggande
• 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.

• FI:s beslut

  2018, Fifth Round Mutual Evaluation Report, Anti-money laundering and counter-terrorist financing measures, Latvia, s. 8. 8 Moneyval, 2014, Report on
• Trig Social media får erinran och straffavgift

  • Markets
  • Published
  • Sanctions
  • Financial Reporting

  Published 2016-01-19 - Trig Social Media AB (publ) får en erinran. Företaget ska även betala en straffavgift på 300 000 kronor.

• FI:s beslut om Trig Social Media

  FI:s decision regarding Trig Social Media