Sweden: Financial Sector Assessment Program Update: Detailed Assessment of Observance on IOSCO Principles and Objectives of Securities Regulation
September 16, 2011
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This paper provides an assessment of the level of implementation of the International Organization of Securities Commissions (IOSCO) Principles in Sweden’s securities market. The assessment has identified several significant weaknesses in the scope and effectiveness of securities market regulation. The Executive Board recommends licensing of insurance intermediaries under the Securities Market Act (SMA). The government should also reconsider its policy of attaching specific short-term project requirements to parliament’s annual budget allocation for Finansinspektionen (FI) initially and during the course of the financial year.
Subject: Financial institutions, Financial instruments, Financial markets, Mutual funds, Securities, Securities markets, Stock markets
Keywords: authorities FI, CR, equity trading, Europe, FI regulation, FI staff, Global, insider dealing, investment fund, ISCR, letter of intent, management company, material information, Mutual funds, Securities, securities exchange, Securities markets, senior management, Stock markets
Pages:
82
Volume:
2011
DOI:
Issue:
283
Series:
Country Report No. 2011/283
Stock No:
1SWEEA2011006
ISBN:
9781463903541
ISSN:
1934-7685
