Your search for "Commission on Financial & Securities Compliance" resulted in 567 hits
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Regulations amending Finansinspektionen’s regulations (FFFS 2013:9) regarding Swedish UCITS
- Markets
- Funds
digital operational resilience for the financial sector (the DORA Regulation) and that some provisions … Personal transactions: trade in a financial instrument which is conducted by a relevant person or on
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Regulations amending Finansinspektionen’s regulations (FFFS 2017:2) regarding investment services and activities
- Bank
- Markets
- Banking and lending services
- Funds
- Insurance intermediaries
- Securities institutions
Regulation (575/2013/EU) are subject to the correct provisions and small and non-interconnected securities … Chapter 8 Administrative procedures for compliance controls Section 5 A securities company shall
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Regulations amending Finansinspektionen’s regulations and general guidelines (FFFS 2015:13) regarding supervisory reporting for insurance business
- Insurance
- Insurance undertakings
will come into effect on 1 January 2024. … Issued bonds and other interest-bearing securities are reported under other financial liabilities.
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Regulations amending Finansinspektionen’s regulations (FFFS 2013:9) regarding Swedish UCITS
- Markets
- Funds
The amendments enter into force on 1 July 2023. Amendment 2023:10 … Personal transactions: trade in a financial instrument which is conducted by a relevant person or on
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Regulations amending Finansinspektionen’s regulations (FFFS 2013:9) regarding Swedish UCITS
- Markets
- Funds
holders shall consider in some cases the primarily negative impact investment decisions can have on … Personal transactions: trade in a financial instrument which is conducted by a relevant person or on
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Regulations amending Finansinspektionen’s regulations and general guidelines (FFFS 2014:1) regarding governance, risk management and control at credit institutions
- Bank
- Markets
- Banking and lending services
- Securities institutions
digital operational resilience for the financial sector. … digital operational resilience for the financial sector and amending Regulations (EC) No 1060/2009,
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Regulations amending Finansinspektionen’s regulations (FFFS 2007:17) governing operations on trading venues
- Markets
- Stock exchanges and clearing
- Public companies and their owners
- Securities institutions
included in the scope and are the result of the term clearing organisation being removed from the Securities … – companies whose transferable securities are admitted to trading on a regulated market or trading
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Regulations amending Finansinspektionen’s regulations and general guidelines (FFFS 2008:25) regarding annual reports at credit institutions and securities companies
- Bank
- Markets
- Banking and lending services
- Securities institutions
The regulations have been amended so that some provisions do not apply to securities companies – with … Chapter 7 Section 2 International accounting standards as adopted by the European Commission in
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General guidelines regarding remuneration policies in stock exchanges
- Markets
- Stock exchanges and clearing
The amendment is the result of the term clearing organisation being removed from the Securities Market … In this context, variable remuneration includes salary that is not commission-based and not linked
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Regulations amending Finansinspektionen’s regulations (FFFS 2014:14) governing the reporting of interim and annual report data
- Bank
- Markets
- Banking and lending services
- Securities institutions
The amendments enter into force on 8 March 2023. Amendment 2023:8 … A20 Issued securities Repurchased own issued securities should be deducted from this balance sheet
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Regulations amending Finansinspektionen’s regulations (FFFS 2013:10) regarding alternative investment fund managers
- Markets
- Funds
digital operational resilience for the financial sector. … digital operational resilience for the financial sector and amending Regulations (EC) No 1060/2009,
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Regulations amending Finansinspektionen’s regulations (FFFS 2017:2) regarding investment services and activities
- Bank
- Markets
- Banking and lending services
- Funds
- Insurance intermediaries
- Securities institutions
The amendments enter into force on 22 November 2022. Amendment 2022:16 … Section 15 A securities institution shall ensure that its analysis budget is based on a reasonable
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Regulations amending Finansinspektionen’s regulations (FFFS 2011:1) regarding remuneration structures in credit institutions and investment firms
- Bank
- Markets
- Banking and lending services
- Funds
- Securities institutions
The amendments enter into force on 7 July 2021. Amendment 2021:17 … the Banking and Finance Business Ordinance (2004:329) and Chapter 6, section 1, point 9 of the Securities
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Regulations amending Finansinspektionen’s regulations and general guidelines (FFFS 2011:14) regarding reporting of owners’ qualifying holdings and participating interests
- Bank
- Insurance
- Markets
- Banking and lending services
- Stock exchanges and clearing
- Electronic money
- Funds
- Insurance undertakings
- Securities institutions
- Other
term clearing company and are a result of the term clearing organisation being removed from the Securities … Finansinspektionen prescribes pursuant to Chapter 6, section 1, point 56 of the Securities Market Ordinance
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Regulations amending Finansinspektionen’s regulations (FFFS 2011:1) regarding remuneration structures in credit institutions and investment firms
- Bank
- Markets
- Banking and lending services
- Funds
- Securities institutions
The amended regulations enter into force on 29 December 2020. Amendment 2020:30 … the Banking and Finance Business Ordinance (2004:329) and Chapter 6, section 1, point 9 of the Securities
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Finansinspektionen’s regulations and general guidelines regarding certain insurance associations granted dispensation
- Insurance
- Insurance undertakings
information and forecasts concerning 1. operating expenses, particularly running costs and commission
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Regulations amending Finansinspektionen’s regulations (FFFS 2013:9) regarding Swedish UCITS
- Markets
- Funds
The new regulations enter into force on 1 November 2016. Amendment 2016:26 … Control function: A Swedish management management company's function(s) for risk management, compliance
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Regulations amending Finansinspektionen’s regulations and general guidelines (FFFS 2011:14) regarding reporting of owners’ qualifying holdings and participating interests
- Bank
- Insurance
- Markets
- Banking and lending services
- Stock exchanges and clearing
- Electronic money
- Funds
- Insurance undertakings
- Securities institutions
- Other
consolidated situation, pursuant to the Securities Companies Regulation (2019/2033/EU), due to the new … compliance officers.
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Regulations amending Finansinspektionen’s regulations and general guidelines (FFFS 2015:8) regarding insurance business
- Insurance
- Insurance undertakings
will come into effect on 1 January 2024. … their solvency and financial condition and repealing Implementing Regulation (EU) 2015/2452. ___
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Regulations amending Finansinspektionen’s regulations and general guidelines (FFFS 2014:12) regarding prudential requirements and capital buffers.
- Bank
- Markets
- Banking and lending services
- Funds
- Securities institutions
that shall be submitted by a credit institution to Finansinspektionen in accordance with Commission
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Regulations amending Finansinspektionen’s regulations and general guidelines (FFFS 2008:25) regarding annual reports at credit institutions and securities companies.
- Bank
- Markets
- Banking and lending services
- Securities institutions
The amendments enter into force on 1 January 2023. Amendment 2022:8 … – IAS 1 Presentation of Financial Statements, in the section on capital disclosures.
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Regulations amending Finansinspektionen’s regulations and general guidelines (FFFS 2015:13) regarding supervisory reporting for insurance business
- Insurance
- Insurance undertakings
Amendment 2019:26 The amendments enter into force on 1 January 2020. … other expenses, commission to the undertaking’s own staff is included in commission costs.
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Regulations amending Finansinspektionen’s regulations (FFFS 2013:9) regarding Swedish UCITS
- Markets
- Funds
4, and for the rest of the amendments on 7 July 2021. … Personal transactions: trade in a financial instrument which is conducted by a relevant person or on
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Finansinspektionen’s regulations regarding the obligation of some financial firms to submit information for official statistics
- Bank
- Other
is clarified through the information that these undertakings shall submit to the official statistics on … losses on shares sold (specify sign -) 044 Capital losses on other securities (specify sign -) 045
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Regulations amending Finansinspektionen’s regulations (FFFS 2007:17) governing operations on trading venues
- Markets
- Stock exchanges and clearing
- Public companies and their owners
- Securities institutions
trading venues; decided on 25 June 2013.
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Regulations amending Finansinspektionen’s regulations (FFFS 2017:22) regarding position limits
- Markets
- Stock exchanges and clearing
- Securities institutions
for new and less liquid agricultural commodity derivatives in accordance with Article 17(1) of Commission … Section 2 For commodity derivatives referred to in Article 17(1) of Commission Delegated Regulation
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Finansinspektionen’s general guidelines regarding remuneration policies in stock exchanges and clearing organisations
- Markets
- Stock exchanges and clearing
These general guidelines enter into force on 1 November 2020. … In this context, variable remuneration includes salary that is not commission-based and not linked
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Regulations amending Finansinspektionen’s regulations and general guidelines (FFFS 2008:25) regarding annual reports at credit institutions and securities
- Bank
- Markets
- Banking and lending services
- Securities institutions
- Occupational Pension Companies
Listed institutions: institutions whose securities are admitted to trading on a regulated market within
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Finansinspektionen’s regulations regarding a pan-European personal pension product
- Bank
- Insurance
- Markets
- Banking and lending services
- Funds
- Insurance undertakings
- Insurance intermediaries
- Securities institutions
among others, Regulation (EU) 2019/1238 of the European Parliament and of the Council of 20 June 2019 on … to additional information for the purposes of the convergence of supervisory reporting, and – Commission
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Regulations regarding quarterly statistics for some securities companies
- Markets
- Securities institutions
that trade in financial instruments on their own account but do not have authorization to receive funds … Securities companies that – trade in financial instruments on their own account without simultaneously
