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Your search for "Commission on Financial & Securities Compliance" resulted in 40 hits

• Nasdaq Stockholm receives a remark and an administrative fine

  • Markets
  • Published
  • Sanctions

  Published 2024-06-19 - trading in financial instruments on Nasdaq Stockholm's regulated market in violation of Chapter 13,

• Decision: Remark and administrative fine
• JM receives a caution and an order to follow financial reporting rules

  • Markets
  • Published
  • Sanctions
  • Financial Reporting

  Published 2020-05-20 - JM has been in violation of the international financial reporting standard IFRS 10 in its consolidated … The incorrect financial reporting has an impact on the consolidated financial performance and financial

• Decision: Caution and order of correction
• Swedbank receives a remark and an administrative fine

  • Bank
  • Published
  • Sanctions

  Published 2023-03-15 - regulations and internal procedures and processes in conjunction with an IT-related incident that occurred on

• Decision: Remark and administrative fine – Swedbank AB
• 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
• Nord Fondkommission AB’s authorisation is withdrawn

  • Markets
  • Consumer
  • Published
  • Sanctions

  Published 2021-10-13 - the companies conducting authorised business activities on the financial market.

• Decision: Withdrawal of authorisation for Nord Fondkommission AB
• Maiden Life receives warning and administrative fine

  • Insurance
  • Published
  • Sanctions

  Published 2021-06-23 - The deficiencies have been of such a nature that Finansinspektionen assesses there to be grounds on which

• FI's decision on Maiden Life Försäkrings AB
• My Change Scandinavia receives an injunction to cease its operations

  • Money laundering
  • Published
  • Sanctions
  • Payments

  Published 2023-05-26 - My Change is a registered currency exchanger pursuant to section 2 of the Certain Financial Operations

• Decision: Injunction to cease operations
• Trustly Group receives warning and administrative fine

  • Bank
  • Money laundering
  • Published
  • Sanctions

  Published 2022-02-22 - As a result, the risk that it has been possible to use Trustly and the financial system for money laundering

• Decision: Trustly Group AB
• AK Nordic AB receives a remark and an administrative fine

  • Bank
  • Published
  • Sanctions

  Published 2020-10-14 - Finansinspektionen has investigated the company's compliance with the regulations on minimum requirements

• FI:s decision (Summary)
• Withdrawn authorisation for Exceed Capital Sverige AB

  • Insurance
  • Markets
  • Published
  • Sanctions

  Published 2020-06-02 - Finansinspektionen withdraws all Exceed Capital Sverige AB’s (Exceed) authorisations to conduct securities

• Decision: Withdrawal of authorisation - Exceed Capital Sverige AB (Summary)
• 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 (

• Finansinspektionen’s decision on Resurs Bank
• 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
• ClearOn receives warning and administrative fine

  • Bank
  • Money laundering
  • Published
  • Sanctions

  Published 2022-02-22 - Finansinspektionen has investigated ClearOn's compliance with the Money Laundering and Terrorist Financing

• Decision: ClearOn AB (Summary)
• 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
• Moneygram receives injunction to take remedial action

  • Bank
  • Money laundering
  • Published
  • Sanctions

  Published 2022-09-13 - 31 January 2021 that it has implemented the measures as ordered by FI and how this has resulted in compliance

• Decision (Summary)
• Danske Bank receives injunction to take remedial action

  • Bank
  • Money laundering
  • Published
  • Sanctions

  Published 2021-10-20 - Finansinspektionen therefore issues an injunction on Danske Bank to assess no later than 30 June 2022

• Decision: Injunction for Danske Bank to take remedial action
• Trig Social Media breached accounting rules

  • Markets
  • Published
  • Sanctions
  • Financial Reporting

  Published 2016-01-19 - periodic financial information. … Trig Social Media is a Swedish limited liability company listed on the Frankfurt stock exchange, and

• FI:s decision regarding Trig Social media
• 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

• FI:s decision about Skandiabanken
• Nasdaq Stockholm Aktiebolag receives a remark and an administrative fine

  • Published
  • Sanctions

  Published 2016-12-13 - Finansinspektionen is issuing Nasdaq Stockholm Aktiebolag (556420-8394) a remark. Nasdaq Stockholm Aktiebolag shall also pay an administrative fine of SEK…

• Remark and administrative fine - Nasdaq Stockholm Aktiebolag
• Nordea receives a warning and is ordered to pay the maximum administrative fine

  • Bank
  • Published
  • Sanctions

  Published 2015-05-19 - There have been major deficiencies in Nordea's work to prevent money laundering. This means there is a high probability that if people have tried to launder…

• FI's decision regarding Nordea
• Handelsbanken receives a remark and is ordered to pay an administrative fine

  • Bank
  • Published
  • Sanctions

  Published 2015-05-19 - Handelsbanken has not complied with the money laundering rules. The bank has not conducted risk assessments for all of its customers or obtained sufficient…

• FI's decision regarding Handelsbanken
• Nordnet Bank receives a remark and an administrative fine

  • Bank
  • Markets
  • Consumer
  • Published
  • Sanctions

  Published 2022-05-25 - Pursuant to its authorisation to conduct investment services and activities under the Securities Market

• Nordnet Bank receives a remark and an administrative fine
• Nasdaq Clearing Aktiebolag receives a warning and an administrative fine

  • Markets
  • EMIR
  • Published
  • Sanctions

  Published 2021-01-27 - 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)
• FI withdraws the authorisation of Festival International

  • Markets
  • Published
  • Sanctions

  Published 2014-01-14 - Finansinspektionen withdraws the authorisation of Festival International to conduct investment services.

• FI's decision to withdraw the authorisation of Festival International
• Resurs Bank receives a remark and an administrative fine

  • Bank
  • Consumer
  • Published
  • Sanctions

  Published 2022-06-22 - Finansinspektionen thus makes the assessment that Resurs Bank's credit assessments have not been based on

• Resurs Bank receives a remark and an administrative fine
• FI withdraws the authorisation of Exchange Finans

  • Bank
  • Published
  • Sanctions

  Published 2014-01-14 - Finansinspektionen withdraws the authorisation to conduct financing business of Exchange Finans Europe.

• FI's decision to withdraw the authorisation of Exchange Finans Europe
• Svea Bank receives a remark and an administrative fine

  • Bank
  • Consumer
  • Published
  • Sanctions

  Published 2022-06-22 - The observed violations have been such that Finansinspektionen considers there to be grounds on which

• Svea Bank receives a remark and an administrative fine
• Länsförsäkringar Bank recieves a remark and must pay an administrative fine

  • Bank
  • Money laundering
  • Published
  • Sanctions

  Published 2022-12-14 - Länsförsäkringar Bank has been deficient in its compliance with the anti-money laundering regulations … The investigation shows that Länsförsäkringar Bank has been deficient in its compliance with the anti-money
• Aros receives warning and administrative fine

  • Bank
  • Money laundering
  • Published
  • Sanctions

  Published 2023-12-13 - FI has investigated Aros Kapital's compliance in a number of areas, such as Aros' credit risk management
• Financial reporting supervision
  • Published
  • Sanctions

  We can also decide on an administrative fine and can combine the order with a fine. … Read more on the page About financial reporting supervision .