However, in several cases, the investigation has resulted in remarks and views which in three cases have led to a sanction review. This is the result of the 75 onsite inspections that FI has conducted so far during 2008.
The deficiencies noted concern, among other things, compliance control, the management of money laundering as well as the handling of conflicts of interest and information on such.
The views in this report are preliminary and may be changed in conjunction with the final report which will be published after the turn of the year. FI therefore invites the industry to submit comments and views on the conclusions of this partial report. The easiest way to do this is by sending an e-mail to: patrik.hellgren@fi.se no later than 19 January 2009.
Partial report – How firms are managing with the new securities regulations, MiFID
