Swedsec’s Rules and Regulations contain provisions concerning which companies are eligible to affiliate with Swedsec, the licensing exams that exist and which employees of affiliated companies must be licensed. The Rules and Regulations also set forth what is expected of affiliated companies and licence holders and what will occur with regard to, for example, disciplinary sanctions and exclusion if the rules are violated.
The Swedsec Regulatory Committee drafts and proposes any amendments to the regulations. The Rules and Regulations are subsequently adopted by the Board of Directors of Swedsec and are reviewed annually or as required by special circumstances. Contact Swedsec for access to earlier versions of the Rules and Regulations or to see amendments to the Rules and Regulations.
Affiliated companies are obliged to comply with Swedsec’s Rules and Regulations. Even though we are active in self-regulation of the sector, our Rules and Regulations and knowledge requirements must also be regularly updated to align with new legislation and government regulations. The English version is a translation of the Swedish original. The Swedish version is the sole authentic version and shall prevail in the event of discrepancies.
The Regulatory Committee’s remit is to prepare and propose amendments to Swedsec’s Rules and Regulations. Committee members are appointed by the Board of Directors of Swedsec.
Members of the Regulatory Committee
Katja Levén, Chair, Head of Compliance, Large Corporates & Financial Institutions, SEB
Susanne De Geer, former Senior Compliance Officer/LC&I, Swedbank (publ) AB
Teresa Isele, CEO, Swedsec
Göran Nilsson, Chief Legal Officer, Erik Penser Bankaktiebolag
Ola Sundborg, Group Compliance Officer, Carnegie Investment Bank AB