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Your search for "Commission on Financial & Securities Compliance" resulted in 69 hits

• Investor alert: The Elliot Private Equity and Commission on Financial & Securities Compliance

  Published 2017-04-20 - Read more at Finansinspektionen
• 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

• Investor alert: Lenox International LLP

  Published 2005-09-22 - Read more at Finansinspektionen
• 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

• 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.
• 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

• 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
• 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.
• FI’s view on automated investment advice

  • Bank
  • Insurance
  • Markets
  • Consumer
  • Published
  • News

  Published 2017-02-22 - FI’s view on automated investment advice

• Memorandum: Automated investment advice

  However, there is a requirement on functions for compliance, risk management and internal audit.
• 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
• 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

• Open finance in Sweden

  The upcoming regulation on open finance announced by the EU Commission will take the next step3.
• Assessment of Securities Settlement in Sweden 2006

  • Markets
  • Published
  • Reports

  Published 2007-02-15 - Assessment of Securities Settlement in Sweden 2006

• Assessment of Securities Settlement in Sweden 2006 (2007:1)

  At that time the Swedish authorities were assessed as partly compliant.
• 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

• 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
• 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

• 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.
• Supervision of the securities market

  • Markets
  • Published
  • Reports

  Published 2015-03-26 - Supervision of the securities market

• Report: Supervision of the securites market 2015

  on Developments on the securities market).
• 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.
• Assessment of Securities Settlement in Sweden 2008

  • Markets
  • Published
  • Reports

  Published 2009-03-04 - Assessment of Securities Settlement in Sweden 2008

• 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
• Financial services and the Internet

  • Consumer
  • Published
  • Reports

  Published 2000-04-14 - Financial services and the Internet

• Report: Financial services and the Internet

  When communicating with customers on security problems and security systems, the financial companies must be more candid.
• 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

• 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
• Enforcement of financial information

  • Published
  • Reports

  Published 2014-10-15 - Enforcement of financial information

• Enforcement of financial information

  INFORMATION FUTURE ENFORCEMENT OF FINANCIAL INFORMATION On 26 November 2013, the EU Commission decided on amendments to the Transparency Directive.
• 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
• Consumer Protection on the Financial Market (2016)

  • Consumer
  • Published
  • Reports

  Published 2016-08-18 - Consumer Protection on the Financial Market (2016)

• 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
• 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.

• Report: Supervision of the banks (2017)

  and compliance functions.
• 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.

• 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
• FI:s response to the EU Consultation on FinTech: A more competitive and innovative European Financial Sector

  • Bank
  • Markets
  • Published
  • Comments on proposals
  • Fintech

  Published 2017-06-15 - FI:s response to the EU Consultation on FinTech: A more competitive and innovative European Financial Sector

• Finansinspektionen’s response to the Commission Consultation Document on FinTech: A more competitive and innovative European Financial Sector

  Finansinspektionen’s response at the webb-survey, to the Commission Consultation on FinTech
• 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

• Memorandum: Finansinspektionen’s (FI) prioritised areas for 2021

  non-compliance.
• 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.

• 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
• 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

• Supervision Report 2012

  of commissions on customer protection.
• Risks in the financial system 2012

  • Bank
  • Insurance
  • Markets
  • Stability
  • Published
  • Reports

  Published 2012-11-08 - Risks in the financial system 2012

• Report: Risks in the financial system 2012

  Memo: Finansinspektionen stress tests major Swedish banks
• Consumer protection in the financial markets

  • Consumer
  • Published
  • Reports

  Published 2007-05-31 - Consumer protection in the financial markets

• Consumer protection in the financial markets (report summary)

  Report in Swedish: Konsumentskyddet på finansmarknaden (2007:9)
• 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)