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Regulations and general guidelines regarding reporting of owners' qualifying holdings and participating interests
Finansinspektionen mandates that a wide range of financial institutions, including banks, insurance companies, and investment firms, submit detailed information on qualifying holdings and participating interests. The reporting obligation covers general register data, subsidiaries, and consolidated group situations, with submissions required via the regulator's website. These regulations adapt the framework to the Insurance Business Act and subsequent EU regulations, repealing previous rules and updating terminology to align with current legal standards.
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Regulations and general guidelines regarding reporting of owners' qualifying holdings and participating interests
In force from 2011-05-01
Summary
The regulations require that information regarding general register information, qualifying holdings, subsidiaries, step-down subsidiaries and other participating interests shall be submitted to Finansinspektionen.
The reporting obligation applies to joint stock banks, members' banks, savings banks, credit market companies, credit market associations, investment firms, fund management companies, insurance companies, insurance associations, mutual national insurance companies, exchanges, authorised market places, clearing organisations and electronic money institutions.
Deposit entities and financial institutions shall report information regarding owners' qualifying holdings.
The information is reported via Finansinspektionen's website.
The regulations adapt the regulatory framework to the new Insurance Business Act (2010:2043) and subsequent changes in other acts and ordinances. The regulations repeal FFFS 2004:17.
Amendments
The amendments entail that the term clearing organisation has been replaced with the term clearing company and are a result of the term clearing organisation being removed from the Securities Market Act (2007:528). In addition, the term authorised marketplaces has been removed.
The amendments introduce a requirement that information must be provided on firms that are part of a consolidated situation, pursuant to the Securities Companies Regulation (2019/2033/EU), due to the new Regulation.
The amendments enter into force on 7 July 2021. Amendment 2021:18
FI is adjusting terms and phrases in the appendices to agree with those used in the Capital Requirements Regulation. FI is also updating references to acts and regulations that have been repealed with references to the acts and regulations that replaced them. The amendments enter into force on 2 August 2014. Amendment 2014:23
Documents
FFFS 2011:14
Changes
Number
FFFS 2024:9
Date
2024-07-01
Heading
FFFS 2024:9
Number
FFFS 2021:18
Date
2021-07-07
Heading
FFFS 2021:18
Number
FFFS 2014:23
Date
2014-08-02
Heading
FFFS 2014:23
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Lineage: In force
Similar documents from other regulators
FMARegulation on Qualifying Holdings 2016Austria · 2018-08-14
BAFINGuidance Notice on Holder Control RegulationGermany · 2015-11-20
Source: Finansinspektionen — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works
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