Sweden; Financial Sector Assessment Program Update: Detailed Assessment of Observance on IOSCO Principles and Objectives of Securities Regulation

This paper provides an assessment of the level of implementation of the International Organization of Securities Commissions (IOSCO) Principles in Swedenâ€™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 parliamentâ€™s annual budget allocation for Finansinspektionen (FI) initially and during the course of the financial year.

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Year of publication:	2011-09-16
Institutions:	International Monetary Fund (IMF) ; International Monetary Fund
Subject:	Financial sector \| Reports on the Observance of Standards and Codes \| Securities regulations \| securities exchange \| securities firms \| stock exchange \| capital adequacy \| securities exchanges \| securities market \| securities markets \| market intermediaries \| insurance intermediaries \| transferable securities \| market participants \| stock market \| accounting standards \| foreign regulators \| capital market \| iosco principles \| articles of association \| share information \| share capital \| money laundering \| securities transactions \| foreign counterparts \| collective investment schemes \| foreign authority \| enforcement powers \| self regulation \| securities regulation \| foreign authorities \| administrative sanctions \| internal controls \| stock exchanges \| supervisory authority \| assessment criteria \| international cooperation \| secrecy provisions \| compliance function \| internal audit \| competent authorities \| risk profile \| insider trading \| risk management \| capital requirement \| legal obligations \| unlisted securities \| securities companies \| securities commissions \| securities depository \| supervisory authorities \| settlement systems \| professional secrecy \| dissuasive sanctions \| audit function \| terrorist financing \| internal rules \| exchange information \| market intermediary \| assessment process \| debt securities \| market transparency \| internal organization \| credit rating \| central securities depository \| transparency requirements \| ethical standards \| transaction reporting \| suspicious transactions \| criminal offence \| regulatory authorities \| customer transactions \| reporting obligations \| capital markets \| stock exchange regulations \| securities market regulation \| adequate powers \| securities trading \| compliance program \| securities activities \| hedge funds \| licensing requirements \| credit rating agencies \| criminal record \| international standards \| regulatory bodies \| criminal law \| capital standards \| bond funds \| life insurance \| judicial framework \| securities dealers \| futures markets \| confidentiality requirements \| criminal behavior \| domestic legislation \| information exchange \| derivatives instruments \| bond issues \| supervisory process \| equity funds \| foreign securities \| securities operations \| false information \| supervisory approach \| securities laws \| financial regulation \| secrecy laws \| mutual evaluation \| collective investment scheme \| capital base \| index options \| self regulatory organization \| good faith \| legal infrastructure \| stock exchange transactions \| material change \| licensing process \| capital increases \| market manipulation \| supervisory systems \| insurance business \| money market instruments \| prudential supervision \| investigative powers \| reporting requirements \| beneficial owners \| commercial law \| market integrity \| legal entity \| securities settlement \| supervisory framework \| transaction reporting requirements \| securities settlement systems \| reputational risks \| self regulatory organizations \| capital investments

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Extent:	application/pdf
Series:	IMF Staff Country Reports.
Type of publication:	Book / Working Paper
Notes:	The text is part of a series IMF Staff Country Reports Number 11/283 8 pages long
Source:	RePEc - Research Papers in Economics

Persistent link: https://www.econbiz.de/10011243802