Chapter 1. Introductory provisions
section 1 of this Regulation shall apply for the purposes of the Act (2007:528)
If the securities market.
section 2 of the terms and expressions used in this regulation has the same
meaning and scope of the Act (2007:528)
securities market.
Chapter 2. Register of securities companies and foreign
investment firms
section 1 of the financial supervision authority shall, using automated
treatment maintain a register of securities companies and such
foreign investment firms referred to in Chapter 4. 1 and 4 of §
Act (2007:528) securities market. The purpose of the
the register is to give the public the information contained in the
the registry.
section 2 of the register of securities companies and foreign
investment firm recorded information for each company and
companies.
The register shall contain the indication of the
1. company name,
2. postal address and telephone number, and
3. what services and activities that the company or the company
may provide or operate under their
business license.
The register shall also contain an indication of the registration number
for securities companies and foreign investment firms with
branch in Sweden.
paragraph 3 of the financial supervision authority shall inform the European securities
and markets authority when a securities company registered in
the register of securities companies and foreign
investment firms. The notification shall contain the information
as specified in section 2. Regulation (2012:202).
Chapter 3. Registration of tied agents
Notification of registration with Bolagsverket
§ 1 An application for registration pursuant to Chapter 6. section 1 of the Act
(2007:528) securities of a related agent
is a natural person shall indicate:
1. business name and registration number, or equivalent
task identity and mailing address and telephone number of the
Swedish securities or foreign
investment firms which have concluded contracts with the related
Attorney,
2. the natural person's full name and social security number
or, if there is none, date of birth, as well as the establishment
mailing address and telephone number, as well as
3. which services and financial instruments that the related
the delegate's activities shall include.
If the entered for registration are not registered in
Sweden, a copy of that document or other
identity document relating to the reported identity go with
notification.
If a foreign investment firm operates from
branch in Sweden, the particulars referred to in the first subparagraph
1 also relate to the branch from which the business will operate.
A foreign investment firm shall, together with the notification
submit a certified copy of the registration certificate or equivalent
document for the investment firm.
paragraph 2 a notification for registration pursuant to Chapter 6. section 1 of the Act
(2007:528) securities of a related agent
is a legal entity, indicate
1. business name and registration number, or equivalent
task identity and mailing address and telephone number of the
Swedish securities or foreign
investment firms which have concluded contracts with the related
Attorney,
2. the legal person's business name, registration number, or
the corresponding task identity, postal address and telephone number,
as well as the
3. which services and financial instruments that the related
the delegate's activities shall include.
If the notified of registration is a foreign legal
person with the establishment in Sweden,
1. the data referred to in the first subparagraph 2 also relate to the
the branch from which the business will be operated, and
2. a certified copy of the registration certificate or equivalent
document relating to the follow notification.
If a foreign investment firm operates from
branch in Sweden, the particulars referred to in the first subparagraph
1 also relate to the branch from which the business will operate.
A foreign investment firm shall, together with the notification
submit a certified copy of the registration certificate or equivalent
document for the investment firm.
section 3 of The notice of registration of a tied agent referred to
in Chapter 6. section 2 of the Act (2007:528) securities market, shall
In addition to those mentioned in paragraphs 1 and 2, indicate in
which country within the EEA that the delegate shall have its place of business.
section 4 of the notification of registration pursuant to Chapter 6. 1 or section 2 of the Act
(2007:528) securities market or deregistration pursuant to
Chapter 6. 9 § 1 the same law shall be signed by a member of the Board of Directors
or the Executive Director of the Swedish
securities or foreign investment firm
has entered into an agreement with the tied agent.
§ 5 If the information a Swedish securities or
foreign investment firms have provided to the companies Registration Office has
changed, the institution shall notify the respective company
registration with the companies registration office.
Register of tied agents
6 § registration of tied agents are made in the register of
tied agents. The register is kept by means of automated
treatment and must be kept available at the Swedish companies registration office.
The work is personal responsible under the data protection act
(1998:204) for the table.
In the register of tied agents shall be registered for each
tied agent.
section 7 of the register shall provide public access to the information
included in the register.
In the case of personal data, the register shall be conducted for the
provide data for
1. the supervision that the FSA has over
securities under the Act (2007:528)
the securities market, and
2. public information on tied agents which have
registered in the registry.
section 8 of the Swedish companies registration office shall ensure that it does not arise from any
undue intrusion into the privacy of the data subject
or any risks from the point of view of safety. For these purposes,
the work in individual cases to decide on conditions for the treatment of
personal data.
§ 9 the companies registration office, for the purposes set out in section 7 of the a
case-by-case basis, decide on the direct access to the register of
tied agents.
section 10 Provisions for damages in section 48 of the personal data Act
(1998:204) applies to the processing of personal data in accordance with
This regulation.
11 § in the case of rectification of personal data in the register of
tied agents shall section 26 of the Administrative Procedure Act (1986:223)
apply instead of section 28 of the personal data Act (1998:204).
section 12 of the register of tied agents shall
recorded on tied agents:
1. social security number or, if there is none, date of birth
natural persons and corporate registration number or equivalent
identity task for legal entities,
2. full name of natural persons and company
legal persons,
3. postal address and telephone number,
4. what services and financial instruments business
shall include,
5. date of registration with the companies registration office, and
6. the date of the decision on registration has been revoked.
The Swedish companies registration office shall record the assignment if the tied agent email
postal address.
If the notified of registration is a foreign legal
person with the establishment in Sweden, shall be recorded in the register
information referred to in the first subparagraph 1-3, 5 and 6 also concerning the
the branch from which the business will operate.
If the entered for registration, such tied agent
referred to in paragraph 3, shall be recorded in the register of
which country within the EEA that the delegate shall have its place of business.
paragraph 13 of the register of tied agents shall for each affiliated
delegate the following information is recorded for the Swedish
securities or foreign investment firm
the tied agent has entered into an agreement with:
1. company name,
2. registration number or an equivalent identity function,
as well as the
3. mailing address, and phone number.
If a tied agent has entered into an agreement with a foreign
investment firm that operates from the branch in
Sweden, the particulars referred to in the first paragraph also
refer to the branch from which the business will operate.
Notifications
section 14 of the companies registration office shall notify as soon as possible after registration
The financial supervision authority if the information has been entered into or
expunged from the register of tied agents so that the inspection
can perform its supervisory function. The notification may be made at
medium for automated processing.
section 15 Of the financial supervision authority has revoked the permit for a
Swedish securities firm who employ tied agents or
If the Inspectorate becomes aware that the State of an
foreign investment firms who employ tied agents with
place of business in Sweden has been revoked, the inspection
immediately inform the Office about this.
section 16 Of the Swedish companies Registration Office has taken a decision to write off or
refuse the registration of a notice relating to a tied agent
or to deregister a tied agent pursuant to Chapter 6. 8
or section 9 of the Act (2007:528) securities market, shall
the work as soon as possible inform the securities institution or
the investment firm about this.
Registration fees
section 17 of the cases relating to registration under this chapter shall
fee for handling, examination and
registration with 850 kroner:
1. when applying for registration to the register of affiliated
agents, and
2. in the case of notification of withdrawal of registration of affiliated
agents.
The fee shall not be paid for the registration of the change of
the indication of a telephone number or mailing address. Fee shall not
either paid for registration that occurs after notification or
notification from the FSA.
section 18 of the Fee shall be paid when the application for registration is submitted
check-in. The fee will not be refunded if any proceedings
has begun.
Chapter 4. The storage and provision of information
Article 1 the provisions of §§ 2 and 3 shall apply to the
storage function referred to in chapter 17. section 4 of the Act (2007:528)
securities market.
section 2 of the Storage function shall
1. have sufficient capacity and be available to users
around the clock in an Internet-based system,
2. have adequate data security,
3. ensure that the information received has been provided
by an authorised consignor,
4. Verify electronically that information has been received,
5. include a function for evaluating information
submitted in time and in the right way,
6. record the time when the information was received,
7. provide clear information about additions and corrections
made to stored information,
8. make information available as soon as possible after
the information has been submitted, and
9. establishment of a system that can be paired with other
corresponding storage functions within the EEA.
paragraph 3 of the Users should be able to read, download and print the
stored information.
It shall be possible to search for information in
the storage extent. The search function will be available on
Swedish and at least one additional language
generally on the international financial markets.
Search for a document shall be made on
1. the issuer's name or registration number,
2. the title of the document,
3. the timing of when the document was published,
4. the language in which the document is drawn up, and
5. what type of information document contains.
Users will be able to get help and support in matters of
the use of the storage extent.
4 a Cape. The processing of an application for authorisation to acquire
shares or units
Article 1 the provisions of this chapter shall apply to the
FSA's processing of applications for permits
to the acquisition of shares in accordance with Chapter 24. 1 §
the first and second subparagraphs Act (2007:528)
securities market. Regulation (2009:593).
section 2 of the financial supervision authority shall be in the written confirmation
referred to in Chapter 24. the third paragraph of section 1 of Act (2007:528)
securities market set the date of the assessment period
expires. Regulation (2009:593).
§ 3 If the FSA need additional information for
to assess an application for authorisation to acquire referred to in
24. the first and second subparagraphs of paragraph 1 of the law (2007:528)
the securities market, the Inspectorate shall submit to the transferee
to supplement the application. The notice must be in writing
and it must clearly indicate the additional information
required.
An order completion may not be made later than
on the 50th working day of the assessment period.
Regulation (2009:593).
section 4 Of the Swedish financial supervisory authority requests supplementary information, the
the assessment period may be extended by a period equivalent to the number of
working days between the date on which the notice was sent and the
date on which the additional information came in for inspection.
The extension may not exceed twenty working days unless
subject of the second paragraph. The assessment period may
extended by a maximum of one point.
The financial supervision authority may extend the assessment period to a maximum of
thirty working days about
1. the assignee not domiciled in the EEA, or
2. the purchaser is not
(a)) credit institutions, electronic money institutions,
an insurance undertaking, a securities firm, a stock exchange, a
Fund management company or a fund company and is under the supervision of
The Swedish financial supervisory authority, or
(b)) a foreign company in the EEA as in their home country,
engage in equivalent activities that a company referred to in (a)
and under the supervision of a public authority or other
competent body.
The Swedish financial supervisory authority shall, within two working days of the
additional information is submitted to the inspection post
a confirmation to the customer that the information has been
received. In confirmation, it should also set out any day
the assessment period runs out. Regulation (2011:262).
paragraph 5 of the FSA's decision in a matter of permission to
acquisitions must be in writing. The decision shall be communicated within two
working days from the time it was taken.
If an authority or any other competent body in another
country within the EEA which supervises the acquirer has provided
comments to the financial supervisory authority, those comments
indicated in the decision. Regulation (2009:593).
Chapter 5. Duty to notify
section 1 Of the financial supervision authority pursuant to chapter 25. section 4 of the Act
(2007:528) securities market decides that a
Member of the Board of directors or the Managing Director may no longer
be it, the inspection as soon as possible, inform the companies registration office if
the decision. The same applies if the supervision authority appoints a
replacement of a Board member or the managing
the Director.
section 2 of the financial supervision authority shall publish on its website the
Division into classes of liquid shares admitted to trading on
a regulated market Inspectorate makes when the default size
in the market for the shares shall be determined. The Swedish financial supervisory authority
shall inform the European Securities and markets authority
If the classification is made. Regulation (2012:202).
paragraph 3 of the financial supervision authority shall, in accordance with article 91.11 in
European Parliament and Council Directive EU of 26
June 2013 if access to the activity of credit institutions
and the prudential supervision of credit institutions and investment firms, if
Amendment of Directive 2002/87/EC and repealing Directive
2006/48/EC and 2006/49/EC to collect data
securities companies shall publish on the diversity policy and
leave these to the European banking authority.
Regulation (2014:996).
4 section/entry into force: 2016-02-01/
The financial supervision authority shall inform the European banking authority shall, to the extent permitted by European Parliament and Council Directive 2004/59/EU of 15 may 2014, establishing a framework for the resolution of credit institutions and investment firms, and amending Council Directive 82/891/EEC and European Parliament and Council Directive 2001/24/EC, 2002/47/EC, 2004/25/EC, 2005/56/EC 2007/36/EC, 2011/35/EU, 2012/2013/30/EU 36/EU and European Parliament and Council Regulation (EU) no 1093/2010 and (EU) No 648/2012, in the original wording (crisis management). Regulation (2015:1038).
5 a Cape. /Kapitlet entry into force: 2016-02-01/
Certain obligations for the financial supervisory authority
section 1 of the financial supervision authority shall on its website to provide the information which must be published pursuant to article 112 of the crisis management directive. Regulation (2015:1038).
section 2 of the terms of the approval of contracts for intercompany financial support to the financial supervision authority, within four months from the date of inspection or other coordinating supervisory authority received application, try to reach an agreement with the other competent authorities about whether the terms of the proposed agreement are in accordance with the terms and conditions for financial support in accordance with article 23 of the directive in crisis management.
If an agreement referred to in the first subparagraph have not been concluded within four months, the financial supervisory authority acting as coordinating authority to decide whether the application should be approved.
If any of the competent authorities, within the time limit referred to in the first paragraph, has referred the matter to the European banking authority in accordance with article 19 of Regulation (EC) no 1093/2010 of 24 March 2010 establishing a European supervisory authority (European banking authority), amending Decision No 716/2009/EC and repealing Commission decision 2009/78/EC , in wording in accordance with European Parliament and Council regulation 806/2014/EU, Inspectorate postpone its decision under the second subparagraph in a month and await the decision that the European banking authority may take under article 19(3) of that regulation. The FSA should follow a decision in the matter of the European banking authority. If the European banking authority has not taken a decision within one month, the inspection may take a decision pursuant to the second subparagraph.
Regulation (2015:1038).
Chapter 6. Appropriations
1 §/expires U: 2016-02-01/
When it comes to the law (2007:528) on securities market
the financial supervision authority may provide for
1. What are the conditions for which shall be set out in such a contract
referred to in Chapter 1. 5 § 1,
2. how an issuer shall make publicly available a choice of
the home Member State in accordance with Chapter 1. section 9,
3. the content of an application for a licence to operate
securities operations, a regulated market or
clearing operations,
4. the information, beyond what is apparent from this
Regulation, an application, notification or notification shall
contain, and which tasks at the same time, must be submitted to the
The Swedish financial supervisory authority, or to the companies registration office,
5. the requirements under Chapter 3. Article 1, first paragraph (5) and (6)
as well as 24 Cape. 3 paragraph 1 should be the one to
join the Board or be ceo of a
securities companies, or be a substitute for any of them and
on the Board as a whole,
6. which records may be included in the initial capital under 3
Cape. section 6,
7. contents of a scheme of operations in accordance with Chapter 3. section 11, Chapter 4.
section 5, Chapter 5. 1, 4 or section 8, Chapter 12. section 8 or 19 Cape. section 11,
8. what Swedish securities and foreign
investment firms shall observe pursuant to Chapter 6. section 1 of the notice
If the registration and control of tied agents;
9. what a securities firm must comply in order to meet the
the obligations set out in Chapter 8. section 1,
10. what a securities companies should take to
meet the requirements for solvency and liquidity, risk management
and transparency as well as guidelines and instructions provided
in Chapter 8. 3-8 sections,
11. investment corporate diversity policy when filling
Board of Directors as well as resources for the introduction and training of
Board members,
12. the guidelines, rules, and practices a
securities companies shall establish and apply in accordance with Chapter 8.
section 9,
13. What systems, resources and procedures a
securities companies shall be in accordance with Chapter 8. section 10,
14. what a securities firm must comply in order to meet the
the obligations set out in Chapter 8. section 11,
15. documentation in accordance with Chapter 8. section 12,
16. monitoring of trade and price formation in accordance with Chapter 8.
section 13, and chapter 13. section 7,
17. what a securities firm must comply and the requirements
the Institute shall meet in the contract in accordance with Chapter 8.
section 14,
18. what a securities firm must comply when it divides into
their customers in the categories referred to in Chapter 8. section 15,
19. management of conflicts of interest in accordance with Chapter 8. section 21,
20. what information must provide a securities firm
to their customers in accordance with Chapter 8. section 22,
21. the manner in which the information referred to in Chapter 8. 22 (b) § shall
provided to customers;
22. what a securities firm must comply when obtaining
data from its customers in accordance with Chapter 8. 23 and 24 sections,
23. what a securities firm must comply when a trial
in accordance with Chapter 8. 23 and 24 sections,
24. what financial instruments should be considered
uncomplicated in accordance with Chapter 8. 25 paragraph 1 (e),
25. documentation and reporting to the customer in accordance with Chapter 8. 26
and 27 §§,
26. what a securities firm must comply in order to meet the
the requirements to achieve the best possible results in accordance with Chapter 8.
section 28,
27. the order execution policy in accordance with Chapter 8. section 29,
28. the management of customers ' orders in accordance with Chapter 8. 33 §,
29. management of financial instruments in accordance with Chapter 8. paragraph 34,
30. management of funds in accordance with Chapter 8. section 35,
31. the receipt of funds on the account as well as the company's or
the company's systems for the management of certain functions under 8
Cape. section 36,
32. What are the restrictions that apply in the determination of
security in accordance with Chapter 8. paragraph 37,
33. the information to be entered in a list referred to in
Chapter 8. paragraph 38,
34. exemption from the obligation to publish an order
According to Chapter 9. section 1,
35. the default size for liquid shares admitted to trading
on a regulated market,
36. the obligation to publish information in accordance with Chapter 9.
section 9, second subparagraph,
37. the conditions of a share shall be considered as payment in accordance with
the second subparagraph of article 22 (1) of Commission Regulation (EC) no
1287/2006 of 10 August 2006 implementing
European Parliament and Council Directive 2004/39/EC as regards the
record-keeping obligations for investment firms,
transaction reporting, market transparency,
admission of financial instruments to trading, and
definitions for the purposes of that directive,
38. documentation under 10 Cape. section 2,
39. the information that identifies the customer on whose
behalf a transaction is carried out in accordance with Chapter 10. paragraph 3 of the other
subparagraph,
40. when a transaction report shall contain the information
In addition to that provided for in Chapter 10. paragraph 3, second subparagraph in accordance
with article 13(3) of Regulation (EC) no 1287/2006,
41. the reporting obligation under 10 Cape. paragraph 3 should
apply also in the case of transactions in financial
instruments which are not admitted to trading on a regulated
market,
42. the information to be given as under Chapter 11. 6 and 7 § §
applicable to publishers of some negotiable securities
traded on a trading platform,
43. the obligation to publish information on trade
According to Chapter 11. section 9, and chapter 13. section 9,
44. the obligation to publish pre-trade transparency
According to Chapter 11. section 10, chapter 13. section 10,
45. the obligation to publish information after trade
According to Chapter 11. section 11 and chapter 13. section 11,
46. the amount of the share capital, the sum of
Member operations and subordinated debentures and the requirement on
initial capital in accordance with Chapter 12. section 7,
47. trade rules of a regulated market in terms of
the share acquisition and disposal of own shares at the
regulated market,
48. the disciplinary board and the handling of disciplinary matters
under Chapter 13,
49. the monitoring of participants in trading on a regulated
market,
50. the obligation to provide information as referred to in chapter 15. applies to
issuers of transferable securities that are admitted to
trading on a regulated market or for which a request for
admission to trading;
51. the Exchange's surveillance referred to in chapter 15. section 9,
52. the conditions for registration in accordance with Chapter 15. section 12,
53. What is required to provision for annual and
consolidated financial statements and half-yearly financial report and quarterly report
that is in a public regulation in a State outside the EEA should
be applied under Chapter 16 of the. section 11 of the first subparagraph,
54. the supervision of issuers ' regular financial
information that should be performed by a stock exchange under Chapter 16 of the. section 13,
55. what such a notification to the financial supervision authority referred to in
16. section 14 should contain and how the notification should
fulfilled,
56. the content, scope, and performance of such
reporting referred to in Chapter 16. section 15,
57. how and in what language the information referred to in 17
Cape. paragraph 1 shall be published,
58. how information must be submitted to the financial supervision authority pursuant to the
Chapter 17. section 3,
59. the conditions for such requirements in a foreign
Regulation referred to in chapter 18. § 8 shall be considered equivalent to
the provisions of chapter 18. 3 to 6 sections,
60. the conditions for such requirements in a foreign
Regulation referred to in chapter 18. section 9 should be considered equivalent to
the provisions of chapter 18. 10 to 12 sections,
61. the size of the share capital and the total of made
Member operations and subordinated debentures pursuant to chapter 19. section 8,
62. the security requirement under Chapter 20. 3 and 4 sections,
63. what information securities, stock exchanges,
clearing organizations and those foreign companies that have
authorisation to operate a regulated market from the branch in Sweden
shall submit to the financial supervision authority pursuant to Chapter 23. 2 § and when
the information shall be provided,
64. how the obligation to provide data to
The financial supervisory authority in accordance with Chapter 23. paragraph 3 shall be fulfilled,
65. to certain tasks according to Chapter 23. section 2, first paragraph
must be submitted to the financial supervision authority shall be submitted to
The central statistical office, and
66. bookkeeping, annual accounts and annual report of
exchanges, clearing organizations and foreign companies
who has permission to operate a regulated market from the branch in
Sweden. Regulation (2014:996).
the entry into force of § 1/in: 2016-02-01/
When it comes to the law (2007:528) securities market, financial supervisory authority provide for
1. What are the conditions for which shall be set out in such a contract as referred to in Chapter 1. 5 § 1,
2. the content of an application for a permit to operate securities operations, a regulated market or clearing operations,
3. which data, beyond what is apparent from this regulation, an application, notification or notification should contain as well as the tasks at the same time, must be submitted to the financial supervision authority or to the companies registration office,
4. the requirements under Chapter 3. Article 1, first paragraph 5 and 6 and 24. 3 paragraph 1 should be the one to join the Board or be ceo of a securities company, or be a substitute for any of them, and on the Board of Directors in its entirety;
5. which records may be included in the initial capital in accordance with Chapter 3. section 6,
6. the contents of a scheme of operations in accordance with Chapter 3. section 11, Chapter 4.
section 5, Chapter 5. 1, 4 or section 8, Chapter 12. section 8 or 19 Cape. section 11,
7. what Swedish securities and foreign investment firms shall observe pursuant to Chapter 6. section 1 of the notice of registration and control of tied agents;
8. what a securities firm must comply in order to meet the obligations set out in Chapter 8. section 1,
9. what action a securities companies should take to meet the requirements of solvency and liquidity, risk management and transparency as well as guidelines and instructions referred to in Chapter 8. 3-8 sections,
10. investment corporate diversity policy in the appointment of the Board of Directors as well as resources for the induction and training of Board members,
11. the guidelines, rules, and practices a Securities Institute shall establish and apply in accordance with Chapter 8.
section 9,
12. What systems, resources and procedures to have a securities firm in accordance with Chapter 8. section 10,
13. what a securities firm must comply in order to meet the obligations set out in Chapter 8. section 11,
14. documentation in accordance with Chapter 8. section 12,
15. the monitoring of trade and price formation in accordance with Chapter 8.
section 13, and chapter 13. section 7,
16. what a securities firm must comply and which requirements the Institute shall meet at the contract in accordance with Chapter 8.
section 14,
17. what a securities firm must comply when it divides its customers into categories in accordance with Chapter 8. section 15,
18. management of conflicts of interest in accordance with Chapter 8. section 21,
19. what information a securities firm must provide to its customers in accordance with Chapter 8. section 22,
20. the manner in which the information referred to in Chapter 8. 22 (b) § shall be provided to customers;
21. what a securities firm must comply when obtaining data from their customers in accordance with Chapter 8. 23 and 24 sections,
22. what a securities firm must comply when an examination in accordance with Chapter 8. 23 and 24 sections,
23. what financial instruments should be considered as non-complex in accordance with Chapter 8. 25 paragraph 1 (e),
24. records and reporting to the customer in accordance with Chapter 8. sections 26 and 27,
25. as a securities firm must comply in order to meet the requirements to achieve the best possible results in accordance with Chapter 8.
section 28,
26. the order execution policy in accordance with Chapter 8. section 29,
27. management of customers ' orders in accordance with Chapter 8. 33 §,
28. management of financial instruments in accordance with Chapter 8. paragraph 34,
29. management of funds in accordance with Chapter 8. section 35,
30. the receipt of funds on the account as well as the company's or the company's system for handling some of the information in accordance with Chapter 8. section 36,
31. what restrictions should apply to the provision of security in accordance with Chapter 8. paragraph 37,
32. the information to be entered in a register in accordance with Chapter 8. paragraph 38,
33. what a recovery plan according to the 8 (a). 2 § and a consolidated recovery plan according to the 8 (a). 3 § should contain, when the plans will be drawn up and how often they should be updated,
34. with the decision of the Board of Directors of the sponsoring company pursuant to Chapter 8 (b). § 8 shall contain, 35. the publication of the information referred to in Chapter 8 (b). section 16, 36. exemptions from the obligation to publish an order in accordance with Chapter 9. section 1,
37. the default size for liquid shares admitted to trading on a regulated market,
38. the obligation to publish information in accordance with Chapter 9.
section 9, second subparagraph,
39. the conditions of a share shall be considered as payment in accordance with the second subparagraph of article 22 (1) of Commission Regulation (EC) no 1287/2006 of 10 August 2006 implementing Directive 2004/39/EC as regards record-keeping obligations for investment firms, transaction reporting, market transparency, admission of financial instruments to trading, and defined terms for the purposes of the directive, 40. documentation in accordance with Chapter 10. section 2,
41. the information that identifies the customer on whose behalf a transaction is carried out in accordance with Chapter 10. paragraph 3, second subparagraph,
42. when a transaction report should contain information in addition to that provided for in Chapter 10. paragraph 3, second subparagraph, in accordance with article 13(3) of Regulation (EC) no 1287/2006, 43. to the reporting obligation pursuant to Chapter 10. paragraph 3 shall also apply in respect of transactions in financial instruments which are not admitted to trading on a regulated market,
44. the reporting obligation as referred to in Chapter 11. sections 6 and 7 apply to the publishers of certain transferable securities which are traded on a trading platform,
45. the obligation to publish information on trade under Chapter 11. section 9, and chapter 13. section 9,
46. the obligation to publish information under Chapter 11. section 10, chapter 13. section 10,
47. the obligation to publish information after trading under Chapter 11. section 11 and chapter 13. section 11,
48. the size of the share capital, the sum of member contributions and subordinated debentures and the requirement on the initial capital in accordance with Chapter 12. section 7,
49. trade rules of a regulated market in terms of share acquisition and disposal of own shares on the regulated market,
50. the disciplinary board and the handling of disciplinary matters under Chapter 13.,
51. the monitoring of participants in trading on a regulated market,
52. the reporting obligation as provided for in chapter 15. applies to issuers of transferable securities that are admitted to trading on a regulated market or for which application for admission to trading;
53. the Exchange's surveillance referred to in chapter 15. section 9,
54. the conditions for registration in accordance with Chapter 15. section 12,
55. What is required for the provisions on the annual and consolidated financial statements and half-yearly report that is in a public regulation in a State outside the EEA should be applied according to Chapter 16. section 11 of the first subparagraph,
56. the supervision of issuers ' regular financial information to be provided by a stock exchange under Chapter 16 of the. section 13,
57. what such a notification to the financial supervision authority referred to in Chapter 16. section 14 should contain and how the obligation is to be performed,
58. the content, scope, and performance of such reporting as referred to in Chapter 16. section 15,
59. how and in what language the information referred to in chapter 17. paragraph 1 shall be published,
60. how information must be submitted to the financial supervision authority pursuant to chapter 17. section 3,
61. the conditions for such requirements in a foreign regulation as referred to in chapter 18. § 8 shall be considered equivalent to those laid down in chapter 18. 3 to 6 sections,
62. the conditions for such requirements in a foreign regulation as referred to in chapter 18. section 9 should be considered equivalent to those laid down in chapter 18. 10 to 12 sections,
63. the size of the share capital and the sum of member contributions and subordinated debentures pursuant to chapter 19. section 8,
64. security requirement under Chapter 20. 3 and 4 sections,
65. what information securities, stock exchanges, clearing houses and such foreign companies authorised to operate a regulated market from the branch in Sweden must submit to the financial supervision authority pursuant to Chapter 23. 2 and when the information is to be provided,
66. to certain tasks according to Chapter 23. section 2 of the first subparagraph shall be submitted to the financial supervision authority shall be submitted to the central statistical office, 67. how the obligation to provide information to the financial supervision authority pursuant to Chapter 23. paragraph 3 shall be fulfilled,
68. which securities firms to establish registers referred to in Chapter 23. 3 b, what records shall contain and when securities companies must submit the registers for different types of contracts, and 69. bookkeeping, annual accounts and annual report of exchanges, clearing houses and such foreign companies authorised to operate a regulated market from the branch in Sweden. Regulation (2015:1038).
2 §/expires U: 2016-02-01/
Before the FSA announces regulations pursuant to
by section 1 of 65, the Inspectorate give the Riksbank and Statistical
Central Office heard. Regulation (2014:996).
2 section/entry into force: 2016-02-01/
Before the FSA notifies the regulations by virtue of section 1 of 66, the Inspectorate give the Riksbank and central statistical office the opportunity to be heard. Regulation (2015:1038).
