Regulatory Alerts2011-09-21
Regulations amending Finansinspektionen's regulations governing operations on trading venues
Finansinspektionen issued regulations amending FFFS 2007:17 to establish detailed requirements for ownership and management assessments of stock exchanges, clearing organizations, and central securities depositories. The rules mandate specific written information submissions for acquiring qualifying holdings or conducting operations, while introducing exemptions for supervised entities and prior assessments. Additionally, the regulations define notification procedures for changes in senior management and specify the content of required appendices for natural and legal persons.
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