A stable, well-functioning financial market for allA stable, well-functioning financial market for allFinancial firms
2021
Danske Bank receives injunction to take remedial action
Danske Bank has not sufficiently assessed the risk of how the bank’s products and services in Sweden may be used for money laundering and terrorist financing. Danske Bank therefore must rectify this deficiency no later than 30 June 2022.
Nord Fondkommission AB’s authorisation is withdrawn
Finansinspektionen (FI) is withdrawing all of Nord Fondkommission AB’s (Nord) authorisations due to severe deficiencies, in part in the company’s advisory services.
Maiden Life receives warning and administrative fine
Finansinspektionen is issuing Maiden Life Försäkrings AB a warning. The company must also pay an administrative fine of SEK 5.5 million.
Nasdaq Clearing Aktiebolag receives a warning and an administrative fine
Nasdaq Clearing Aktiebolag is receiving a warning and must pay an administrative fine of SEK 300 million.
2020
AK Nordic AB receives a remark and an administrative fine
Finansinspektionen is issuing AK Nordic AB a remark. AK Nordic AB shall also pay an administrative fine of SEK 20,000,000.
SEB receives remark and administrative fine of SEK 1 billion
SEB receives a remark and must pay an administrative fine of SEK 1 billion for deficiencies in its work to prevent money laundering risks.
JAK Medlemsbank receives a remark and an administrative fine
Finansinspektionen is issuing JAK Medlemsbank (516401-9969) a remark. JAK Medlemsbank must also pay an administrative fine of SEK 1.6 million.
Withdrawn authorisation for Exceed Capital Sverige AB
Finansinspektionen withdraws all Exceed Capital Sverige AB’s (Exceed) authorisations to conduct securities business and its authorisation for ancillary services, authorisation to conduct insurance distribution, and authorisation to be registered as a manager of fund units.
Skandia Liv receives a warning and an administrative fine
Skandia, ömsesidigt (Skandia Liv ) receives a warning and must pay an administrative fine of SEK 35 million.
Swedbank receives a warning and an administrative fine of SEK 4 billion
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.
2016
Nasdaq Clearing Aktiebolag receives a remark and an administrative fine
2016-12-13 | Sanctions
Finansinspektionen is issuing Nasdaq Clearing Aktiebolag a remark. Nasdaq Clearing Aktiebolag shall also pay an administrative fine of SEK 25,000,000.
Nasdaq Stockholm Aktiebolag receives a remark and an administrative fine
2016-12-13 | Sanctions
Finansinspektionen is issuing Nasdaq Stockholm Aktiebolag (556420-8394) a remark. Nasdaq Stockholm Aktiebolag shall also pay an administrative fine of SEK 30,000,000.
Resurs Bank receives a remark and an administrative fine
Finansinspektionen is issuing Resurs Bank AB a remark. The bank must also pay an administrative fine of SEK 35 million.
2015
Handelsbanken receives a remark and is ordered to pay an administrative fine
Handelsbanken has not complied with the money laundering rules. The bank has not conducted risk assessments for all of its customers or obtained sufficient information about customers and their business relations. The bank's system for reviewing transactions has also been deficient.
Nordea receives a warning and is ordered to pay the maximum administrative fine
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 money or finance terrorism that they could have done so without Nordea having been able to detect this.
2014
Skandiabanken: adverse remark issued and administrative fine of SEK 10 million imposed
There have been inadequacies in the investment advice that Skandiabanken Aktiebolag has provided through tied agents. The bank has not complied with the rules applicable for receiving commission nor dealt with conflicts of interest in the correct manner.
FI withdraws the authorisation of Exchange Finans
Finansinspektionen withdraws the authorisation to conduct financing business of Exchange Finans Europe.
FI withdraws the authorisation of Festival International
Finansinspektionen withdraws the authorisation of Festival International to conduct investment services.
2008
NGM's licence reinstated
The Stockholm County Administrative Court has decided that NGM's licence to operate a regulated market and trading facility shall not be revoked. NGM shall instead be issued a warning and a financial penalty of SEK 4.5 million to the government in accordance with Finansinspektionen’s proposal.
