Your search for "Commission on Financial & Securities Compliance" resulted in 69 hits
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Investor alert: The Elliot Private Equity and Commission on Financial & Securities Compliance
Published 2017-04-20 - Read more at Finansinspektionen
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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
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Investor alert: Lenox International LLP
Published 2005-09-22 - Read more at Finansinspektionen
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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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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
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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
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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
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.
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FI’s view on automated investment advice
- Bank
- Insurance
- Markets
- Consumer
- Published
- News
Published 2017-02-22 - FI’s view on automated investment advice
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Memorandum: Automated investment advice
However, there is a requirement on functions for compliance, risk management and internal audit.
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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
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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
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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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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 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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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
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Decision: Caution and order of correction
the European Commission in accordance with the IAS Regulation.
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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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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
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Finansinspektionen’s decision on Resurs Bank
Articles 5 and 6 of Commission Implementing Regulation2 state that such reporting shall occur on a quarterly basis.
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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.
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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
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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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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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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
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Finansinspektionen’s response at the webb-survey, to the Commission Consultation on FinTech
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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
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Memorandum: Finansinspektionen’s (FI) prioritised areas for 2021
non-compliance.
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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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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.
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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)