Regulatory AlertsRegulations concerning the obligation to submit information on trading in certain financial instruments by electronic means
Finansinspektionen issued regulations requiring certain companies to electronically file information regarding the trading of specific financial instruments. Subsequent amendments removed obligations for regulated market operators and data reporting services while delegating the collection of reference data to the European Securities and Markets Authority. These changes align the national framework with the Markets in Financial Instruments Regulation and the Securities Market Act.
Regulations concerning the obligation to submit information on trading in certain financial instruments by electronic means
In force from 2002-09-01
Summary
These guidelines state that certain companies shall electronically file information regarding trade of certain financial instruments via Finansinspektionen's website. FI uses the information to monitor the provisions in a number of different Acts, including the Financial Instruments Trading (Market Abuse Penalties) Act (2005:377).
Amendments
The amendments aim to adapt the regulations to changes to the Markets in Financial Instruments Regulation and the Securities Market Act (2007:528).
Under the amendments, undertakings that conduct a regulated market or a trading venue pursuant to Chapter 12, section 2 or Chapter 13, section 12, second paragraph, point 1 of the Securities Market Act or provide data reporting services as an APA or CTP pursuant to Chapter 10, section 1 of the same Act are no longer subject to the regulations. Some of the provisions have also been repealed.
The amendments enter into force on 1 January 2022. Amendment 2021:36
The amendment entails that a reference to the Notification Obligation for Certain Holdings of Financial Instruments Act (2000:1087) has been removed. The act has been repealed (Bill 2017/18:263).
The amendment enters into force on 1 January 2019. Amendment 2018:23
nansinspektionen introduces provisions under which information and reference data for financial instruments that shall be submitted to Finansinspektionen in accordance with Articles 22(1) and 27(1) of MiFIR shall instead be submitted to the European Securities and Markets Authority (ESMA).
The amendments are the result of Finansinspektionen delegating the collection of the information in question to ESMA.
The amendments enter into force on 3 January 2018.
Regulations regarding amendments to Finansinspektionen's regulations (FFFS 2002:11) concerning the obligation to submit information of trading in certain financial instruments by electronic means.
Documents
FFFS 2002:11
Changes
Number
FFFS 2021:36
Date
2022-01-01
Heading
FFFS 2021:36
Number
FFFS 2018:23
Date
2019-01-01
Heading
Number
FFFS 2017:3
Date
2018-01-03
Heading
FFFS 2017:3
Number
FFFS 2007:18
Date
2007-11-01
Heading
FFFS 2007:18