Regulations amending quarterly statistics requirements for certain securities companies

Finansinspektionen’s Regulatory Code Publisher: Finansinspektionen, Sweden, www.fi.se ISSN 1102-7460 This translation is furnished for information purposes only and is not itself a legal document. 1 Regulations amending Finansinspektionen’s regulations (FFFS 2010:1) regarding quarterly statistics for some securities companies; decided 16/02/2015. Finansinspektionen prescribes pursuant to Chapter 6, section 1, points 63 and 65 of the Securities Market Ordinance (2007:572) and section 15 of the Official Statistics Ordinance (2001:100) in respect of Finansinspektionen’s regulations (FFFS 2010:1) regarding quarterly statistics for some securities companies that section 1 of Appendix 1 and Part 2 Classification of counterparties and Part 3 Reporting of quarterly information of Appendix 2, shall have the following wording.
Section 1 These regulations apply to the following undertakings:

1. Securities companies that
   – deals in financial instruments on own account and do not also have authorisation to grant credits to investors and receive funds on account from investors pursuant to Chapter 2, section 2, points 2 and 8 of the Securities Market Act (2007:528), and – belong to Sector S.125, financial institutions other than limited insurance companies and pension institutions, according to European System of Accounts 2010 (ESA 2010) and Standard Classification by Institutional Sector 2014 (INSEKT 2014).
2. Branches to foreign securities companies that
   – conduct operations in Sweden that are registered with Finansinspektionen pursuant to Article 32 of Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments1 , and – trade in financial instruments on own account pursuant to Section A3 of Annex I to the Directive, but do not grant credits to investors pursuant to Section B2 of
   Annex I to the Directive.

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These regulations shall enter into force on 1 March 2015 and are applied for the first time to information submitted for Q1 2015. MARTIN ANDERSSON Hans-Olof Bergqvist

1
EUT L 145, 30.4.2004, p. 1 (Celex 32004L0039).
FFFS 2015:2
Published 20/02/2015

QUARTERLY STATISTICS FOR SOME SECURITIES COMPANIES Institution CIN Institution no. Quarter Year Statistics Sweden shall have received this form no later than the 15th business day following the end of the quarter

• If it is not possible to submit the data electronically,
  one copy of the form shall be sent to Statistics Sweden ES/BFM Box 24300 104 51 STOCKHOLM The information will be given to Sveriges Riksbank and Finansinspektionen. I hereby verify the accuracy of the information submitted using this form and the appended spe Administrator Signature Name (PRINT) Date Signature of chief officer Telephone (area code and number) Signature of administrator Form issuer Questions will be answered by: Telephone no. Email Statistics Sweden Financial Market Unit +46 (0)8 506 940 00 fmr@scb.se

QUARTERLY STATISTICS FOR SOME SECURITIES COMPANIES All currencies shall be translated into SEK and reported as SEK thousands. ASSET S CASH AND BANK BALANCE S OB Rev HCB OB Rev CB OB Rev CB OB Rev CB AT CENTRAL BANK S 11000 Cash balances 11001 Riksbank 11002 Other 11003 OB Rev CB OB Rev CB OB Rev CB OB Rev CB LOANS 12000 Original maturity up to 1 year 12100 MFI 12110 Banks 12111 Riksbank 12112 Mortgage institutions 12113 Monetary securities companies 12114 Other MFI1 12115 Other financial companies 12120 Investment companies 12121 Securities companies 12122 Insurance undertakings and pension instituti 12123 Financial service companies 12124 Other financial companies3 12125 Non-financial companies 12130 Households 12140 HIO 12150 Public sector 12160 Central government 12161 Local government 12162 Social security funds 12163 EMU countries 12170 Other EU 12180 Rest of world 12190 SEK EUR and other EMU currencies Other EU currencies Other currencies SEK EUR and other EMU currencies Other EU currencies Other currencies

LENDING, cont’d.
OB Rev CB OB Rev CB OB Rev CB OB Rev CB Original maturity greater than 1 year 12200 MFI 12210 Banks 12211 Riksbank 12212 Mortgage institutions 12213 Monetary securities companies 12214 Other MFI1 12215 Other financial companies 12220 Investment companies 12221 Non-monetary securities companies 12222 Insurance undertakings and pension instituti 12223 Financial service companies 12224 Other financial companies3 12225 Non-financial companies 12230 Households 12240 HIO 12250 Public sector 12260 Central government 12261 Local government 12262 Social security funds 12263 EMU countries 12270 Other EU 12280 Rest of world 12290 SEK EUR and other EMU currencies Other EU currencies Other currencies

BONDS AND OTHER OB Rev CB OB Rev CB OB Rev CB OB Rev CB INTEREST-BEARING SECURITIES 13000 Original maturity up to 1 year 13100 MFI 13110 Banks 13111 Riksbank 13112 Mortgage institutions 13113 Monetary securities companies 13114 Other MFI1 13115 Other financial companies 13120 Investment companies 13121 Non-monetary securities companies 13122 Insurance undertakings and pension instituti 13123 Financial service companies 13124 Other financial companies3 13125 Non-financial companies 13130 Public sector 13140 Central government 13141 Local government 13142 EMU countries 13150 Other EU 13160 Rest of world 13170 Of which eligible for refinancing by central ban 13199 SEK EUR and other EMU currencies Other EU currencies Other currencies

OB Rev CB OB Rev CB OB Rev CB OB Rev CB Original maturity greater than 1 year 13200 MFI 13210 Banks 13211 Riksbank 13212 Mortgage institutions 13213 Monetary securities companies 13214 Other MFI1 13215 Other financial companies 13220 Investment companies 13221 Non-monetary securities companies 13222 Insurance undertakings and pension instituti 13223 Financial service companies 13224 Other financial companies3 13225 Non-financial companies 13230 Public sector 13240 Central government 13241 Local government 13242 EMU countries 13250 Other EU 13260 Rest of world 13270 Of which eligible for refinancing by central ban 13299 SEK EUR and other EMU currencies Other EU currencies Other currencies

OB Rev CB OB Rev CB OB Rev CB OB Rev CB SHARES AND PARTICIPATION S 14000 Listed shares 14100 MFI 14110 Banks 14111 Mortgage institutions 14112 Monetary securities companies 14113 Other MFI1 14114 Other financial companies 14120 Investment companies 14121 Non-monetary securities companies 14122 Insurance undertakings and pension instituti 14123 Financial service companies 14124 Other financial companies3 14125 Non-financial companies 14130 EMU countries 14140 Other EU 14150 Rest of world 14160 Unlisted shares 14200 MFI 14210 Banks 14211 Mortgage institutions 14212 Monetary securities companies 14213 Other MFI1 14214 Other financial companies 14220 Investment companies 14221 Non-monetary securities companies 14222 Insurance undertakings and pension instituti 14223 Financial service companies 14224 Other financial companies3 14225 Non-financial companies 14230 EMU countries 14240 Other EU 14250 Rest of world 14260 Other participations 14300 Sweden 14310 EMU countries 14320 Other EU 14330 Rest of world 14340 SEK EUR and other EMU currencies Other EU currencies Other currencies

OB Rev CB OB Rev CB OB Rev CB OB Rev CB FUND UNITS 15000 MFI 15010 Money market funds 15011 Other financial 15020 UCITS and non-UCITS excluding money ma 15012 EMU countries 15030 Other EU 15040 Rest of world 15050 OB Rev CB OB Rev CB OB Rev CB OB Rev CB INTANGIBLE ASSETS 16100 PROPERTY, PLANT AND EQUIPMENT 16200 OTHER ASSETS OB Rev CB OB Rev CB OB Rev CB OB Rev CB Financial derivatives 17000 MFI 17010 Banks 17011 Riksbank 17012 Mortgage institutions 17013 Money market funds 17014 Monetary securities companies 17015 Other MFI2 17016 Other financial companies 17020 UCITS and non-UCITS excluding money ma 17021 Investment companies 17022 Non-monetary securities companies 17023 Insurance undertakings and pension instituti 17024 Financial service companies 17025 Other financial companies4 17026 Non-financial companies 17030 Households 17040 HIO 17050 Public sector 17060 Central government 17061 Local government 17062 Social security funds 17063 EMU countries 17070 Other EU 17080 Rest of world 17090 SEK EUR and other EMU currencies Other EU currencies Other currencies SEK EUR and other EMU currencies Other EU currencies Other currencies SEK EUR and other EMU currencies Other EU currencies Other currencies

OB Rev CB OB Rev CB OB Rev CB OB Rev CB OTHER 18000 Sweden 18010 of which current trading accounts 18011 EMU countries 18020 of which current trading accounts 18021 Other EU 18030 of which current trading accounts 18031 Rest of world 18040 of which current trading accounts 18041 PREPAID EXPENSES AND ACCRUED INCOME OB Rev CB OB Rev CB OB Rev CB OB Rev CB Prepaid expenses and accrued income 19100 of which accrued interest central banks 19110 of which accrued interest bonds 19120 of which accrued loans 19130 of which short-term loans 19131 of which long-term loans 19132 OB Rev CB OB Rev CB OB Rev CB OB Rev CB TOTAL ASSETS 10000 BRANCH DIFFERENC E 31000 TOTAL ASSETS 32000 SEK EUR and other EMU currencies Other EU currencies Other currencies SEK EUR and other EMU currencies Other EU currencies Other currencies SEK EUR and other EMU currencies Other EU currencies Other currencies

LIABILITIES
OB Rev CB OB Rev CB OB Rev CB OB Rev CB DEPOSITS AND BORROWING 21000 Original maturity up to 1 year 21100 MFI 21110 Banks 21111 Riksbank 21112 Mortgage institutions 21113 Money market funds 21114 Monetary securities companies 21115 Other MFI2 21116 Other financial companies 21120 UCITS and non-UCITS excluding money ma 21121 Investment companies 21122 Non-monetary securities companies 21123 Insurance undertakings and pension instituti 21124 Financial service companies 21125 Other financial companies4 21126 Non-financial companies 21130 Households 21140 HIO 21150 Public sector 21160 Central government 21161 Local government 21162 Social security funds 21163 EMU countries 21170 Other EU 21180 Rest of world 21190 SEK EUR and other EMU currencies Other EU currencies Other currencies

OB Rev CB OB Rev CB OB Rev CB OB Rev CB Original maturity greater than 1 year 21200 MFI 21210 Banks 21211 Riksbank 21212 Mortgage institutions 21213 Money market funds 21214 Monetary securities companies 21215 Other MFI2 21216 Other financial companies 21220 UCITS and non-UCITS excluding money ma 21221 Investment companies 21222 Non-monetary securities companies 21223 Insurance undertakings and pension instituti 21224 Financial service companies 21225 Other financial companies4 21226 Non-financial companies 21230 Households 21240 HIO 21250 Public sector 21260 Central government 21261 Local government 21262 Social security funds 21263 EMU countries 21270 Other EU 21280 Rest of world 21290 SEK EUR and other EMU currencies Other EU currencies Other currencies

OB Rev CB OB Rev CB OB Rev CB OB Rev CB ISSUED SECURITIES 22000 Original maturity up to 1 year 22100 Sweden 22110 EMU countries 22120 Other EU 22130 Rest of world 22140 Original maturity greater than 1 year 22200 Sweden 22210 EMU countries 22220 Other EU 22230 Rest of world 22240 OTHER LIABILITIES OB Rev CB OB Rev CB OB Rev CB OB Rev CB Financial derivatives 23000 MFI 23010 Banks 23011 Riksbank 23012 Mortgage institutions 23013 Money market funds 23014 Monetary securities companies 23015 Other MFI2 23016 Other financial companies 23020 UCITS and non-UCITS excluding money ma 23021 Investment companies 23022 Non-monetary securities companies 23023 Insurance undertakings and pension instituti 23023 Financial service companies 23025 Other financial companies4 23026 Non-financial companies 23030 Households 23040 HIO 23050 Public sector 23060 Central government 23061 Local government 23062 Social security funds 23063 EMU countries 23070 Other EU 23080 Rest of world 23090 SEK EUR and other EMU currencies Other EU currencies Other currencies SEK EUR and other EMU currencies Other EU currencies Other currencies

OB Rev CB OB Rev CB OB Rev CB OB Rev CB OTHER 24000 Sweden 24010 of which current trading accounts 24011 EMU countries 24020 of which current trading accounts 24021 Other EU 24030 of which current trading accounts 24031 Rest of world 24040 of which current trading accounts 24041 ACCRUAL S DEFERRED INCOME OB Rev CB OB Rev CB OB Rev CB OB Rev CB Accrued expenses and prepaid income 25100 of which accrued interest bonds 25110 of which accrued interest loans 25120 of which short-term borrowing 25121 of which long-term borrowing 25122 OB Rev CB OB Rev CB OB Rev CB OB Rev CB PROVISIONS 26000 SUBORDINATED DEBT 27000 of which debenture loans 27100 UNTAXED RESERVES 28000 EQUITY 29000 OB Rev CB OB Rev CB OB Rev CB OB Rev CB TOTAL LIABILITIES AND EQUIT Y 20000 BRANCH DIFFERENC E 33000 TOTAL ASSETS 34000 SEK EUR and other EMU currencies Other EU currencies Other currencies SEK EUR and other EMU currencies Other EU currencies Other currencies SEK EUR and other EMU currencies Other EU currencies Other currencies SEK EUR and other EMU currencies Other EU currencies Other currencies

QUARTERLY STATISTICS FOR SOME SECURITIES COMPANIE S TRANSACTIONS WITH OWN FOREIGN BRANCHE S All currencies shall be translated into SEK and reported as SEK thousands. ASSETS OB Rev CB OB Rev CB OB Rev CB OB Rev CB LOANS 12000 Short (up to 1 year) 12100 EMU countries 12170 Other EU 12180 Rest of world 12190 Long (greater than 1 year) 12200 EMU countries 12270 Other EU 12280 Rest of world 12290 BONDS AND OTHER OB Rev CB OB Rev CB OB Rev CB OB Rev CB INTEREST-BEARING ASSETS 13000 Original maturity up to 1 year 13100 EMU countries 13150 Other EU 13160 Rest of world 13170 Original maturity greater than 1 year 13200 EMU countries 13250 Other EU 13260 Rest of world 13270 OTHER ASSETS OB Rev CB OB Rev CB OB Rev CB OB Rev CB Financial derivatives 17000 EMU countries 17070 Other EU 17080 Rest of world 17090 Other 18000 EMU countries 18020 of which current trading accounts 18021 Other EU 18030 of which current trading accounts 18031 Rest of world 18040 of which current trading accounts 18041 PREPAID EXPENSES SEK EUR and other EMU currencies Other EU currencies Other currencies Other EU currencies Other currencies SEK EUR and other EMU currencies Other EU currencies Other currencies SEK EUR and other EMU currencies Other EU currencies Other currencies SEK EUR and other EMU currencies

AND ACCRUED INCOME OB Rev CB OB Rev CB OB Rev CB OB Rev CB Prepaid expenses and accrued income 19100 of which accrued interest bonds 19120 of which accrued loans 19130 of which short-term loans 19131 of which long-term loans 19132 OB Rev CB OB Rev CB OB Rev CB OB Rev CB TOTAL ASSETS 10000 SEK EUR and other EMU currencies Other EU currencies Other currencies

LIABILITIES
OB Rev CB OB Rev CB OB Rev CB OB Rev CB DEPOSITS AND BORROWING 21000 Short (up to 1 year) 21100 EMU countries 21170 Other EU 21180 Rest of world 21190 Long (greater than 1 year) 21200 EMU countries 21270 Other EU 21280 Rest of world 21290 OB Rev CB OB Rev CB OB Rev CB OB Rev CB ISSUED SECURITIES 22000 Original maturity up to 1 year 22100 EMU countries 22120 Other EU 22130 Rest of world 22140 Original maturity greater than 1 year 22200 EMU countries 22220 Other EU 22230 Rest of world 22240 OTHER LIABILITIES OB Rev CB OB Rev CB OB Rev CB OB Rev CB Financial derivatives 23000 EMU countries 23070 Other EU 23080 Rest of world 23090 Other 24000 EMU countries 24020 of which current trading accounts 24021 Other EU 24030 of which current trading accounts 24031 Rest of world 24040 of which current trading accounts 24041 SEK EUR and other EMU currencies Other EU currencies Other currencies SEK EUR and other EMU currencies Other EU currencies Other currencies SEK EUR and other EMU currencies Other EU currencies Other currencies

ACCRUALS
DEFERRED INCOME OB Rev CB OB Rev CB OB Rev CB OB Rev CB Deferred income 25100 of which accrued interest bonds 25110 of which accrued interest loans 25120 of which short-term borrowing 25121 of which long-term borrowing 25122 OB Rev CB OB Rev CB OB Rev CB OB Rev CB TOTAL LIABILITIES AND EQUITY 20000 DIFFERENCE BETWEEN ASSETS AND OB Rev CB OB Rev CB OB Rev CB OB Rev CB LIABILITIES AND EQUITY*

• If the difference is negative (positive), the branch difference goes under Assets (Liabilities) on the Institute+Branch report tab.
  SEK EUR and other EMU currencies Other EU currencies Other currencies SEK EUR and other EMU currencies Other EU currencies Other currencies SEK EUR and other EMU currencies Other EU currencies Other currencies