The scope of the
1 §/expires U: 2016-04-01/
This regulation contains provisions relating to annual
fees payable for FSA's activities.
Contributions to finance the activities of
inspection, with the exception of
1. the activities financed under
a) fees regulation (1992:191), or
b) Ordinance (2001:911) if the fees for the examination of
issues with finansinspektionen,
2. the activities carried out under the regulation
(2006:942) on emergency management and preparedness, and
3. activities such as those associated with the coordinating body for
supervision under the Ordinance (2009:92) on measures against
money laundering and the financing of terrorism.
The fees will also finance the part of the Statistical
Central to the Agency's activities relating to the collection and processing
of information to the financial supervision authority pursuant to the Act (2014:484) if
a database for the monitoring and supervision of
financial markets. Regulation (2014:502).
1 section/entry into force: 04/01/2016
This regulation contains provisions relating to annual fees payable for FSA's activities.
Contributions to finance the activities of the inspection with the exception of
1. the activities financed under
a) fees regulation (1992:191), or
b) Ordinance (2001:911) if the fees for the examination of issues with finansinspektionen,
2. such activities to be performed under the Regulation (2015:1052) concerning emergency preparedness and surveillance measures by the authorities responsible at preparedness and Regulation (2015:1053) of total defense and preparedness, and
3. activities such as those associated with the coordinating body for supervision under the Ordinance (2009:92) on measures against money laundering and terrorist financing.
The fees will also finance the part of the central statistical office activities relating to the collection and processing of data to the financial supervision authority pursuant to the Act (2014:484) on a database for the monitoring and supervision of financial markets. Regulation (2015:1062).
section 2 of the charges under this Regulation shall be equal to an
amount equal to the financial supervision authority and statistics
Central Agency's annual costs for the activities referred to in
§ 1 shall be financed through fees.
The fees shall be recognized against income title as
decided in regulatory letters for the FSA.
Regulation (2014:502).
3 §/expires U: 2016-01-01/
Fee is imposed by virtue of provisions laid down by
– section 31 of the Act (1967:531) if securing the pension commitment
accommodation,
– § 73 the repealed Act (1972:262) if
friendly societies,
– 39 § Act (1980:1097) about Swedish skeppshypotekskassan,
– Chapter 6. section 4 of the Act (1991:980) financial instruments trading
instruments,
– Article 13 of the Act (1996:1006) concerning the obligation to respect certain
financial activities,
-10 Cape. section 9 of the Act (1998:293) on foreign
insurers and supplementary pension funds in
Sweden
– Article 10 of the law (1998:710) with certain provisions of
The pension Agency's funded activities,
– Chapter 9 paragraph 1 of the law (1998:1479) on the accounting of financial
instruments,
– Chapter 5. section 8 of the Act (2000:192) if public pension funds
(AP-funds),
-section 26 of the Act (2000:1087) concerning the obligation for certain
holdings of financial instruments,
– Chapter 5. section 7 of the Act (2003:1223) on the issuance of covered
bonds,
-10 Cape. section 11 of the Act (2004:46) about mutual funds,
— Chapter 13. section 16 of the Act (2004:297) on banking and
financing business,
– section 22 of Act (2004:299) of deposit operations,
-section 20 of the Act (2005:377) on penalties for market abuse at
trading in financial instrument,
– Chapter 7. section 7 of the Act (2005:405) on insurance mediation,
– Chapter 7. section 13 of the Act (2006:451) if public
takeover bids on the stock market,
– Chapter 6. 10 of the Act (2006:531) on special
supervision of financial conglomerates,
— Chapter 23. 12 and 13 of the Act (2007:528)
the securities market,
– Chapter 8. section 7 of the Act (2010:751) on payment services,
— Chapter 14. section 16 of the insurance business Act (2010:2043)
– Chapter 5. section 7 of the Act (2011:755) on electronic money,
— paragraph (2012:735) with complementary
provisions of the EU's short selling regulation,
— Chapter 4. section 4 of the Act (2013:287) with supplementary provisions
to the EU regulation on OTC derivatives CCPs and
transaction records,
— Chapter 13. second paragraph of section 15 of the Act (2013:561) on
of alternative investment funds,
– 33 § law (2014:275) if certain activities with
consumer credit, and
– Chapter 9 section 1 of the Act (2014:968) if special supervision of
credit institutions and securities companies. Regulation (2014:997).
3 section/entry into force: 01/01/2016
Fee is imposed by virtue of provisions laid down by
– section 31 of the Act (1967:531) if securing the pension commitment
accommodation,
– § 73 the repealed Act (1972:262) If friendly societies,
– 39 § Act (1980:1097) about Swedish skeppshypotekskassan,
– Chapter 6. section 4 of the Act (1991:980) financial instruments trading
instruments,
– Article 13 of the Act (1996:1006) concerning the obligation to respect certain
financial activities,
-10 Cape. section 9 of the Act (1998:293) on foreign
insurers and supplementary pension funds in
Sweden
– Article 10 of the law (1998:710) with certain provisions of
The pension Agency's funded activities,
– Chapter 9 paragraph 1 of the law (1998:1479) on the accounting of financial
instruments,
– Chapter 5. section 8 of the Act (2000:192) if public pension funds
(AP-funds),
-section 26 of the Act (2000:1087) concerning the obligation for certain
holdings of financial instruments,
– Chapter 5. section 7 of the Act (2003:1223) on the issuance of covered
bonds,
-10 Cape. section 11 of the Act (2004:46) about mutual funds,
— Chapter 13. section 16 of the Act (2004:297) on banking and
financing business,
– section 22 of Act (2004:299) of deposit operations,
-section 20 of the Act (2005:377) on penalties for market abuse at
trading in financial instrument,
– Chapter 7. section 7 of the Act (2005:405) on insurance mediation,
– Chapter 7. section 13 of the Act (2006:451) if public
takeover bids on the stock market,
– Chapter 6. 10 of the Act (2006:531) on special
supervision of financial conglomerates,
— Chapter 23. 12 and 13 of the Act (2007:528)
the securities market,
– Chapter 8. section 7 of the Act (2010:751) on payment services,
— Chapter 17. section 29 and 20. section 10 of the insurance business law
(2010:2043)
– Chapter 5. section 7 of the Act (2011:755) on electronic money,
— paragraph (2012:735) with complementary
provisions of the EU's short selling regulation,
— Chapter 4. section 4 of the Act (2013:287) with supplementary provisions
to the EU regulation on OTC derivatives CCPs and
transaction records,
— Chapter 13. second paragraph of section 15 of the Act (2013:561) on
of alternative investment funds,
– 33 § law (2014:275) if certain activities with
consumer credit, and
– Chapter 9 section 1 of the Act (2014:968) if special supervision of
credit institutions and securities companies.
Regulation (2015:705).
3 section/entry into force: 03/01/2016
Fee is imposed by virtue of provisions laid down by
– section 31 of the Act (1967:531) if securing the pension promise, etc., – § 73 the repealed Act (1972:262) If friendly societies, – 39 § Act (1980:1097) about Swedish skeppshypotekskassan, – Chapter 6. section 4 of the Act (1991:980) on trading in financial instruments, – 13 § law (1996:1006) concerning the obligation to respect certain financial activities,-10 Cape. section 9 of the Act (1998:293) on foreign insurers and supplementary pension funds in Sweden, "section 10 of the Act (1998:710) with certain provisions for Pension Premium pension Authority activities, – Chapter 9 section 27 of the Act (1998:1479) on CSDs and the accounting of financial instruments – Chapter 5. section 8 of the Act (2000:192) if public pension funds (AP-funds), to 26 § Act (2000:1087) concerning the obligation for certain holdings of financial instruments – Chapter 5. section 7 of the Act (2003:1223) on the issuance of covered bonds, and 10 chapter. section 11 of the Act (2004:46) about mutual funds,-chapter 13. section 16 of the Act (2004:297) on banking and finance law, – section 22 of Act (2004:299) of deposit operations, – section 20 of the Act (2005:377) on penalties for market abuse in the trading of financial instruments, – Chapter 7. section 7 of the Act (2005:405) on insurance mediation, – Chapter 7. section 13 of the Act (2006:451) concerning public offers on the stock market, "Chapter 6. 10 of the Act (2006:531) on special supervision of financial conglomerates, – chapter 23. 12 and 13 of the Act (2007:528) securities market, – Chapter 8. section 7 of the Act (2010:751) on payment services, "chapter 17. section 29 and 20. section 10 of the insurance business Act (2010:2043), – Chapter 5. section 7 of the Act (2011:755) on electronic money,-paragraph (2012:735) with additional provisions applicable to the EU's short selling regulation, — Chapter 4. section 4 of the Act (2013:287) with additional provisions applicable to the EU's regulation of OTC derivatives, central counterparties and trade repositories,-chapter 13. second paragraph of section 15 of the Act (2013:561) on alternative investment funds – section 33 Act (2014:275) if certain activities with consumer credit, and to Chapter 9. section 1 of the Act (2014:968) if special supervision of credit institutions and securities companies.
Regulation (2016:77).
Calculation and charging of fees
section 4 of the Charges from the natural persons, companies and
authorities referred to in paragraphs 6 to 18 to give the FSA and
The central statistical Office of full cost coverage for each
fee group, unless otherwise specified in this regulation.
With full cost recovery means that each fee group,
responding to both the direct costs and the share of indirect
costs that can be attributed to the group. With charges group
means a group of natural persons, companies or
authorities referred to in paragraphs 6 to 18. Regulation (2014:502).
5 § for each fee group mentioned in paragraphs 6 and 10 shall
The financial supervision authority may calculate a total amount of
based on the Group's share of the supervisory authority, on the one hand and
Central statistical office costs the preceding
the calendar year and the costs that the inspection and
The central statistical office has calculated for the current
the calendar year.
The financial supervision authority shall allocate the total
the amount of the fee for each fee group 1, 2, 3, and 5 on
the companies included in the group. The balance sheet total at
the end of the last financial year shall be
basis for the distribution. Each company in the group to pay a
fees that are proportional in relation to the company's
size.
The financial supervision authority shall allocate the total
the amount of the fee for fee group 4 on the companies included in the
Group. Each company's share of the time
The FSA added on the group immediately preceding
calendar year should serve as a basis for the distribution. The cost that
cannot be attributed to a single company will be distributed at the
companies included in the group using the same allocation basis
and with regard to the type of activities under section 9.
The minimum fee is $3,000, unless otherwise specified in the
This regulation. Regulation (2014:502).
Charge groups
Main groups
Tariff Group 1 banks and securities companies
section 6 of the Fee calculated in accordance with section 5 shall be paid by the Swedish company,
If they have permission to operate
1. banking business under the Act (2004:297) on banking and
financing business, or
2. securities operations under the Act (2007:528)
securities market and securities companies.
Tariff Group 2-Credit market companies etc.
section 7 of the Fee calculated in accordance with section 5 shall be paid by the Swedish company,
If they have permission to operate
1. activities under the Act (1980:1097) about Swedish
skeppshypotekskassan, or
2. financing business under the Act (2004:297) on banking and
financing business.
The minimum fee to be paid by Swedish skeppshypotekskassan.
Regulation (2011:1179).
Tariff Group 3-Insurance companies, friendly societies and others.
section 8 Fee calculated in accordance with section 5 shall be paid by the Swedish company,
If they have permission to operate
1. activities under the repealed Act (1972:262) if
friendly societies, or
2. activities under the insurance business Act (2010:2043).
The minimum fee is $7 000 for
1. friendly societies that are not institutions for occupational retirement provision,
and
2. local insurance companies that belong to the category of small, local
companies.
Friendly societies which have exemptions (limited supervision)
According to the second subparagraph of paragraph 2 of the repealed Act on
friendly societies and insurance companies which have completely
derogation as referred to in Chapter 1. 19 and 20 of the insurance business law
(2010:2043), should not have to pay any fee.
Regulation (2011:1179).
/Rubriken expires U: 2016-03-01/
Tariff Group 4-central securities depository, exchanges and
clearing organizations
/Rubriken entry into force: 03/01/2016
Tariff Group 4-Exchanges, clearing organizations and central securities depositories
§ 9/expires U: 2016-03-01/
Fee calculated in accordance with section 5 shall be paid by the Swedish
companies, if they have permission to operate
1. activities under the law (1998:1479)
financial instruments,
2. regulated market according to law (2007:528)
the securities market, or
3. clearing operations pursuant to the securities markets Act
or regulation (EU) No 648/2012 of 4 July 2012
OTC derivatives, central counterparties and trade repositories.
Regulation (2013:292).
§ 9/entry into force: 03/01/2016
Fee calculated in accordance with section 5 shall be paid by the Swedish company, if they have permission to operate
1. regulated market according to law (2007:528) securities market, 2. clearing operations pursuant to the securities market, or European Parliament and Council Regulation (EC) No 648/2012 of 4 July 2012 on OTC derivatives, central counterparties and trade repositories, or
3. activities as central securities depository according to European Parliament and Council Regulation (EC) no 909/2014 of 23 July 2014 on improving securities settlement in the European Union and of central securities depositories and amending Directive 98/26/EC and 2014/65/EC and Regulation (EU) no 236/2012. Regulation (2016:77).
Fee group 5 – fund managers
section 10 of the Fee pursuant to § 5 shall be paid by the Swedish company, if they
has permission to
1. push the Fund operations under the Act (2004:46) about
mutual funds, or
2. manage an alternative investment fund under the law
(2013:561) on alternative investment fund managers.
Instead of total assets to the total value
of the funds as a mutual fund company and an aifm
referred to in the first subparagraph, Manager at the end of the
last financial year form the basis for
the allocation under paragraph 5 of the second paragraph.
Aifm which are registered pursuant to Chapter 2. section 3 of the Act on
alternative investment fund managers should pay a
fee of € 1000. Regulation (2013:597).
Insurance intermediaries
section 11 of the insurance broker who is a natural person and
registered pursuant to Chapter 2. 3 or 4 or 5. section 2 of the Act
(2005:405) on insurance mediation shall pay a fee of
2 000 SEK.
Insurance intermediary is a legal person and registered
According to Chapter 2. 3 or 4 or 5. section 2 of the Act on
insurance mediation shall pay a fee of $200 for
any employee who on december 31 immediately preceding years
exercised insurance mediation or such side activities
described in Chapter 2. 5 section 15 Act (2007:528)
securities market for the legal entity's behalf.
Minimum fee for the legal person is $200.
The first and second subparagraphs shall not apply to pay fee
under any other provision of this regulation.
Regulation (2011:1179).
section 12 Insurance companies described in Chapter 2. section 4 of the Act (2005:405)
the IMD should pay a fee of $300.
The first subparagraph shall not apply, if the insurance company should pay
fee under any other provision of this regulation.
Some retirement benefit plans
section 13/expires U: 2016-01-01/
Pension Fund referred to in section 9 Act (1967:531) if
securing the pension commitment, etc. shall pay a fee of
10 000 kr. Regulation (2010:753).
section 13/entry into force: 01/01/2016
Pension Fund referred to in section 9 Act (1967:531) if
securing the pension commitment, etc. shall pay a fee of
13 000 kr. Regulation (2015:705).
Currency exchange, financial activities, payment services and
the issuance of electronic money
section 14 of the natural and legal persons which are notified under
Act (1996:1006) concerning the obligation to respect certain financial
activities shall pay a fee of $300 for physical
people and 13 000 for legal persons.
The first subparagraph shall not apply to the person who shall pay the fee in accordance with the
any other provision of this regulation.
Regulation (2013:1110).
14 a of the Registered payment service providers in accordance with the law
(2010:751) on payment services shall pay a fee of 13 000 kr
for natural persons and 26 000 SEK for legal persons.
Regulation (2012:738).
14 b § legal entities authorized under Chapter 2. 1 §
Act (2010:751) on payment services shall pay a fee of
65 000 kr. Regulation (2012:738).
14 c § Registered publishers under the Act (2011:755) if
electronic money shall pay a fee of 26 000 SEK.
Regulation (2012:738).
14 d § electronic money institutions according to law
(2011:755) on electronic money shall pay a fee of
65 000 kr. Regulation (2012:738).
Deposit operations and certain activities with consumer credit
section 15 companies registered under the Act (2004:299) if
the deposit activity shall pay a fee of £ 25,000.
Regulation (2014:1394).
15 a of the Company authorized under section 4 of the Act (2014:275)
If some activities with consumer credit should pay a fee
of SEK 30,000. Regulation (2014:454).
Some issuers
16 §/expires U: 2016-01-01/
Issuers must apply the provisions of Chapter 16 of the. the law
(2007:528) securities market shall pay a fee of
30 000 kr, if their securities are not admitted
to trading on a regulated market in Sweden after the application of
the issuer itself. Regulation (2011:1179).
16 section/entry into force: 01/01/2016
Issuers must apply the provisions of Chapter 16 of the.
Act (2007:528) securities market shall pay a
fee of 40 000 kr, if their securities are not
admitted to trading on a regulated market in Sweden after
application by the issuer itself. Regulation (2015:705).
Some State agencies
section 17 of the fee which is based partly on the Authority's share of the
FSA expenses the preceding
the calendar year and the costs that the inspection is estimated
for the current calendar year, shall be paid by the
1. pension authority, and
2. the seventh AP Fund.
Minimum fee is $3,000. Regulation (2011:1179).
Foreign companies
section 18 foreign companies must pay the fee according to the following:
1. Insurance providers from third countries as referred to in Chapter 1. paragraph 5 of the
first paragraph 2 Act (1998:293) on foreign
insurers and supplementary pension funds in
Sweden, who runs the insurance business in Sweden through
General agent or branch, shall pay 20 000 SEK.
2. Foreign management companies, with a branch in Sweden, which
referred to in Chapter 1. section 6 of the Act (2004:46) on mutual funds, to
pay $500.
3. Foreign management companies pursuant to Chapter 1. 6 b of the law
If mutual funds are authorized to administer
mutual funds, to pay 7 $500 per fund.
4. Credit institutions from another country within the EEA, with a branch in
Sweden, as referred to in Chapter 4. section 1 of the Act (2004:297) on banking and
financing business, will pay 20 000 SEK.
5. Insurance intermediaries from another country within the EEA, with
branch in Sweden, as referred to in Chapter 3. Article 1, first subparagraph 1
Act (2005:405) on insurance mediation, should pay 3,000
SEK.
6. Insurance intermediaries from third countries as referred to in Chapter 3. section 2 of the
the law on insurance mediation, must pay $500.
7. Foreign investment firm from another country in
The EEA, with a branch in Sweden, as referred to in Chapter 4. section 1 of the first
paragraph 1 Act (2007:528) on securities market
foreign companies, with a branch in Sweden, as referred to in Chapter 4. 4 §
the same law shall pay 20 000 SEK.
8. Foreign company referred to in Chapter 12. Article 9 of the law on
the securities market, which has a licence to operate a
regulated market from the branch in Sweden, will pay 20 000 SEK.
9. Foreign company referred to in chapter 19. section 12 of the Act on
the securities market, which has permission to operate
clearing operations from branch in Sweden, will pay 20 000
SEK.
10. foreign EEA aifm referred to in Chapter 5. section 2 of the
Act (2013:561) on alternative
investment funds, which manages a special fund, shall pay
7 000 per fund.
11. foreign EEA aifm referred to in Chapter 5. section 8
the law on alternative investment fund managers, who
operates from a branch in Sweden, will pay £ 500.
12. Non EEA aifm referred to in Chapter 5. section 11 of the
the law on alternative investment fund managers, who
promoting an alternative investment fund to
retail investors, will pay $300 per
Fund.
13. foreign non EEA aifm referred to in
Chapter 5. section 13 of the law on alternative
investment funds, which operate from the branch in
Sweden, will pay £ 500. Regulation (2013:597).
Fee in some cases
Withdrawal of charge when someone previously has not been under supervision
by the Swedish financial supervisory authority
section 19 of an undertaking to pay the fee by one of
the provisions of §§ 6-10 the first year that it is under
supervision by the financial supervisory authority, must pay the minimum fee.
section 20 If a natural person, a company or an authority shall
pay the fee in accordance with any of the provisions of §§ 11-18 it
the first year that it is under the supervision of the Swedish financial supervisory authority,
and it has not been under supervision from the beginning of the year,
the fee is reduced by reference to the time that the person,
the company or authority has not been under supervision.
Withdrawal of charge when someone ceases to be under the supervision of
The Swedish financial supervisory authority
section 21 of a natural person, a company or an authority
to pay the fee in accordance with any of the provisions of §§ 6-18
ceases to be under the supervision of the Swedish financial supervisory authority during the year,
should the fee be reduced taking into account the time spent by the person,
company or agency subsequently has not been under
supervision.
Withdrawal of charge when any change charges group
section 22 relating to the supervision of a natural person or a company
includes a full year but the basis for the charging of fees under the 6-
18 § § changed during the year, the calculation of the fee is based
at the time that the person or company has belonged to the respective
fee group.
The charging of fees amounting to less than 300 kr
section 23 Of the fee calculated in accordance with section 20 or 21 is
for less than $300, the financial supervisory authority in a single
decide that a penalty should not be imposed.
Payment and settlement
section 24 of the financial supervision authority shall annually determine the amount of the
and by 30 november to any natural person, Corporation
and authority to pay the fee, send an invoice to the
amount to be paid and specify when the fee was last to be
paid.
Fee must be paid by deposit to the account
The Swedish financial supervisory authority specifies on the invoice.
Interest is charged on charges that are not paid in due time,
unless there are special reasons for the delay interest shall.
calculated for the year, according to a räntefot which corresponds to the of
Sveriges riksbank established at each applicable
the reference rate referred to in paragraph 9 of the interest Act (1975:635) with a
the addition of eight percentage points.
The financial supervision authority shall, at the end of each year make a comparison
between the contributions during the year and final costs
for each defined group. The result of this comparison should
be taken into account when the fee for the following year is calculated for the
fee group. Regulation (2012:383).
Reduction of the fee
section 25 if there are special reasons, the financial supervisory authority in a
case-by-case basis, may decide to reduce the tuition.
Appeal
section 26 of the 22 a of the Administrative Procedure Act (1986:223) contains provisions
If an appeal to the administrative court.
Transitional provisions
2007:1135
1. This Regulation shall enter into force on 1 January 2008.
2. The regulation repeals Ordinance (2002:1042) if
annual fees for the financing of financial supervision
activity. The repealed Regulation, however, is still in
ask about the fees relating to the period prior to 1 January
2008.
2010:753
This Regulation shall enter into force on 1 January 2011 in the case of
13 and 18 sections and otherwise on August 1, 2010.
2015:705
1. this Regulation shall enter into force on January 1, 2016.
2. insurance undertakings which at the entry into force of the
continue to carry out activities relating to
occupational pension insurance policies according to point 2 of the
transitional provisions to the Act (2015:700) to amend the
the insurance business Act (2010:2043) does section 3 of its older
version.
2016:77
1. This Regulation shall enter into force on 1 March.
2. Older provisions apply to central securities depository as referred to in paragraph 2 of the entry into force and transitional provisions to the Act (2016:51) amending the Act (1998:1479) on the accounting of financial instruments may continue to pursue such activities referred to therein after 29 February 2016.