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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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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Assessment of Securities Settlement in Sweden 2006
- Markets
- Published
- Reports
Published 2007-02-15 - Assessment of Securities Settlement in Sweden 2006
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Assessment of Securities Settlement in Sweden 2006 (2007:1)
At that time the Swedish authorities were assessed as partly compliant.
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Assessment of OMX Derivatives Markets as a central counterparty, 2007
- Markets
- Published
- Reports
Published 2008-03-07 - Assessment of OMX Derivatives Markets as a central counterparty, 2007
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Assessment of OMX Derivatives Markets as a central counterparty, 2007 (2008:8)
Finansinspektionen has approved and registered OMX STO with the EU Commission in accordance with the Swedish Act on Systems for Settlement on the Financial
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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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Assessment of Securities Settlement in Sweden 2008
- Markets
- Published
- Reports
Published 2009-03-04 - Assessment of Securities Settlement in Sweden 2008
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2009-03-04 Assessment of Securities Settlement in Sweden 2008 (2009:2)
of Securities Commissions, Assessment methodology for ”Recommendations for Securities Settlement Systems”, BIS, November 2002 Committee on Payment and
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Financial services and the Internet
- Consumer
- Published
- Reports
Published 2000-04-14 - Financial services and the Internet
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Report: Financial services and the Internet
When communicating with customers on security problems and security systems, the financial companies must be more candid.
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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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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 (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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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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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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Bonuses: Are companies following the rules?
- Bank
- Markets
- Published
- Reports
Published 2011-08-18 - Finansinspektionen (FI) received an assignment from the Government to report on the implementation of the EU Recommendation on remuneration in the financial … services sector, the measures taken to ensure compliance with the new rules and how affected companies have adapted to the recommendations.
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Bonuses: Are companies following the rules?
FI has been tasked by the Government to “demonstrate how the European Commission Recommendation on remuneration policy in the financial services sector
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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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Supervision Report 2012
- Bank
- Insurance
- Markets
- Consumer
- Published
- Reports
Published 2012-05-24 - The issues presented in this year’s Supervision Report stem from the work on financial consumer protection, financial stability and the requirements on
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of commissions on customer protection.
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Risks in the financial system 2012
- Bank
- Insurance
- Markets
- Stability
- Published
- Reports
Published 2012-11-08 - Risks in the financial system 2012
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Consumer protection in the financial markets
- Consumer
- Published
- Reports
Published 2007-05-31 - Consumer protection in the financial markets
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Consumer protection in the financial markets (report summary)
Report in Swedish: Konsumentskyddet på finansmarknaden (2007:9)
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Risks in the financial system 2010
- Bank
- Insurance
- Markets
- Stability
- Published
- Reports
Published 2010-10-29 - Risks in the financial system 2010
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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’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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Risks in the financial system 2011
- Bank
- Insurance
- Markets
- Stability
- Published
- Reports
Published 2011-11-15 - Risks in the financial system 2011
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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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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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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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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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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 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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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
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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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Financial services and consumers (1999:8)
- Consumer
- Published
- Reports
Published 1999-11-01 - Financial services and consumers (1999:8)
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Report: Financial services and consumers - a comparison between the UK (1999:8)
and the functions of the Registry of Friendly Societies, the Building Societies Commission and the Friendly Societies Commission would also be transferred
