Regulatory Alerts2025-11-18
Act on Financial Advisors, Investment Advisors and Mortgage Intermediaries
The Danish Ministry of Industry, Business and Financial Affairs and the Danish Financial Supervisory Authority issued this Act to regulate the licensing, conduct, and oversight of investment advisors and mortgage intermediaries. The legislation mandates that these entities obtain authorization from the Danish Financial Supervisory Authority, adhere to strict competence and integrity standards for management, and implement robust governance and conflict-of-interest procedures. It further establishes specific requirements for remuneration policies, independent advice criteria, and the reporting of regulatory breaches to ensure consumer protection and market integrity.
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