SwedSec’s Rules and Regulations
SwedSec’s rules set forth the terms governing which companies and persons the system encompasses, the associated company’s and license holders’ obligations, proficiency requirements and licensing examination, disciplinary procedures, etc.
The rules are adopted by the SwedSec Board of Directors and can be reviewed every year and half-year.
According to SwedSecs’s rules, license holders’ must comply with these rules as well as laws and other statutes governing the operations and generally accepted practices on the securities market.
This document is a translation of the Swedish original. The Swedish version shall be the sole authentic version and, in the event of discrepancies, shall prevail.