/Entry into force: 2017-02-01/

Law support for regulation



section 1 of this regulation supplements Act (2000:1087) concerning the obligation for certain holdings of financial instruments and the law (2016:1306) with additional provisions applicable to EU market abuse regulation.



The regulation is notified pursuant



– Chapter 2. section 6 of the Act (2016:1306) with additional provisions applicable to EU market abuse regulation in the case of paragraph 10, first paragraph,



— section 14 of the Act (2000:1087) concerning the obligation for certain holdings of financial instruments in respect of section 10, second paragraph,



– Chapter 8. section 7 of the Constitution in respect of the other provisions.



Registry maintained by section 2 of the Transparency the register shall in respect of personal data be conducted to provide information for 1. the financial supervision authority exercises supervision pursuant to lagen (2016:1306) with additional provisions applicable to EU market abuse regulation, and



2. information for market participants and others on securities transactions undertaken by management personnel and their families.



Investigative records



paragraph 3 of the financial supervision authority shall keep a register for purposes of investigation (investigation) in matters concerning infringement can give rise to penalty according to Chapter 5. section 1 of the Act (2016:1306) with additional provisions applicable to EU market abuse regulation. The registry may be proved by means of automated processing. The inspection is a data controller under the data protection Act (1998:204) for the processing of personal data by the registry.



Investigating the register shall only contain particulars 1. taken by terminalåtkomst in accordance with Chapter 8. the second subparagraph of paragraph 3 of law (1998:1479) on central securities depositories and the accounting of financial instruments,



2. disclosed by the central securities depository in accordance with Chapter 8. section 3(1),



3. on the request made by someone under Chapter 3. section 1 of the Act, with additional provisions applicable to EU market abuse regulation, 4. supplied by a foreign supervisory authority, 5. submitted by the other authority, or



6. acquired in the context of a site survey at the discretion of the Court pursuant to Chapter 4. teams with complementary provisions to EU market abuse regulation.



The registry may also be data collected from Insider register.



4 section Competent to use the assessment register is only those employees of the Swedish financial supervisory authority dealing with matters under the Act (2016:1306) with additional provisions applicable to EU market abuse regulation.



paragraph 5 of the personal data in the register shall be destroyed 1. When the case has ended with the FSA but that it submitted to prosecutors,



2. when the Court has announced the judgment or decision in respect of proceedings under Chapter 5. section 21 of the Act (2016:1306) with additional provisions applicable to EU market abuse regulation and judgment or decision has a legal effect,



3. when the sanctions order or penalty relating to the infringement have been approved, 4. when prosecutors have brought criminal charges by reason of any breach, or



5. within five years after the task was introduced in the registry.



Rectification and indemnity



section 6 of the personal data Act (1998:204) provisions for rectification and indemnity shall apply to the processing of personal data pursuant to this regulation.



Documentation for the examination at the discretion of the Court



paragraph 7 of the decision ordering the investigation pursuant to Chapter 4. section 1 of the Act (2016:1306) with additional provisions applicable to EU market abuse regulation applies and which is otherwise concerned to get a proof of implementation. The certificate shall be issued by the person who has completed the survey and include the following information:



1. when and where the site survey was carried out,



2. who was present,



3. a list of the copied or taken care of,



4. If consent has been provided pursuant to Chapter 4. paragraph 5 of the second paragraph of additional provisions to EU market abuse regulation, and



5. other things of importance that have occurred in the site survey.



Publication of administrative sanctions



paragraph 8 of the financial supervision authority shall on its website to provide the information shall be published in accordance with article 34 of the European Parliament and of the Council (EU) of 16 april 2015 on market abuse (market abuse Regulation) and repealing Directive 2003/6/EC and Commission Directive 2003/124/EC, 2003/125/EC and 2004/72/EC.



The financial supervision authority shall likewise publish data on



1. an approved sanctioning notice under Chapter 5. section 19 of the Act (2016:1306) with additional provisions applicable to EU market abuse regulation, 2. a judgment in respect of proceedings under Chapter 5. section 21 of the Act, with additional provisions applicable to EU market abuse regulation, and



3. a judgment where claimant pursuant to Chapter 4. section 1 of the Act (2016:1307) where the penalty for market abuse on the securities market has been approved.



Notice to the companies Registration Office for members and alternates



paragraph 9 of the financial supervision authority shall promptly inform the companies registration office, if the inspection pursuant to Chapter 5. section 4 of the Act (2016:1306) with additional provisions applicable to EU market abuse regulation forbids anyone to be a Director or Managing Director, or replacement for any of them, in a Swedish securities.



Appropriations



paragraph 10 of the financial supervision authority may provide that such notifications shall be made to the financial supervisory authority in accordance with article 4(1) of Mar instead should be made to the European Securities and markets authority.



When it comes to the Act (2000:1087) concerning the obligation for certain holdings of financial instruments, financial supervisory authority provide for 1. What is the registration required under section 12 3,



2. what a list referred to in section 13 shall include, and



3. how the obligation to provide data to the inspection under section 18 shall be fulfilled.