Search www.fi.se

Your search for "Commission on Financial & Securities Compliance" resulted in 9 hits

• 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

  As a result, the outsourcing has therefore led to Nasdaq Clearing being non-compliant with Article 4(4) of Commission Regulation (EU) No. 153/2013.
• 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.
• 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
• 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

  therewith is to be monitored on an ongoing basis through various kinds of sample check, both internally within the operation and by the Compliance
• 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)
• 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

  one of its duties was to combat financial crime and money laundering.
• 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
• 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

  Innan AFC etablerades fanns den koncerngemensamma enheten Group Security Investigations (GSI) som etablerades under år 2017.