National Supervisory Authority & Licensing Qualification Dossier • European Economic Area & Switzerland
FI
SwedenSwedish Financial Supervisory Authority
Source / Native Reference: 瑞典金融管理局
- Supervisory tier
- Tier-1
- License classes
- 2
- Licensed records
- 9
- Active / regulated
- 9
Statutory Supervisory Mandate & Scope
Securities Commission of The Bahamas (SCB) (SCB) is the statutory financial regulatory and licensing authority in Bahamas. It oversees international investment dealers, securities brokers, collective investment schemes, and cross-border financial service providers under Bahamas's offshore financial centre framework, enforcing corporate governance, minimum paid-up capital, and Anti-Money Laundering / Counter-Financing of Terrorism (AML/CFT) compliance.
Prudential Tier Assessment
Tier-1Tier-1 national capital markets, securities, and derivatives supervisory authority in Sweden, IOSCO member standards-aligned.
National licensing qualifications & statutory authorisation classes (FI)
Authorisation categories, permitted institutional and retail activities, minimum initial capital adequacy, and ongoing prudential solvency rules enforced by FI in Sweden.
| License class / code | Official designation | Permitted institutional & retail activities | Minimum initial / base capital | Ongoing prudential & solvency rule |
|---|---|---|---|---|
| Category 1 / Principal Broker-Dealer | Full-Scope Securities & Derivatives Dealer (Market Maker / Principal) | Dealing as principal or market maker in securities, FX, CFDs, futures, options, and underwriting. | USD $500,000 – $1,000,000+ (or EUR €750,000) minimum regulatory capital | Risk-weighted capital adequacy + minimum liquid capital buffer ≥ 25% of annual fixed overheads. |
| Category 2 / Agency Broker & Asset Manager | Securities Brokerage (Agency / STP) & Discretionary Portfolio Management Licence | Order execution, reception and transmission of client orders, discretionary portfolio management, and investment advisory. | USD $150,000 – $250,000 (or EUR €150,000) minimum base capital | Strict client money segregation, best-execution monitoring, and quarterly regulatory financial returns. |
Investor compensation, client money segregation & digital-asset regime
Statutory counterparty protections, custody reconciliation mandates, and virtual-asset licensing status under FI.
National Investor Protection / Compensation Scheme (Sweden)
- Maximum coverage per client
- EUR €20,000 – USD $100,000+ equivalent per eligible retail investor
- Eligible counterparties & scope
- Retail clients of licensed securities and investment brokerage firms.
FI Client Money & Safe Custody Segregation Rules
- Reconciliation & audit cadence
- Daily reconciliation of segregated client trust bank accounts against client trading ledger balances.
- Approved custodian requirements
- Client funds and securities must be held in bankruptcy-remote statutory trust accounts at licensed commercial banks or central securities depositories.
FI Digital Asset / Tokenized Securities & VASP Regulatory Framework
- Travel Rule, custody & stablecoin rules
- FATF Recommendation 16 Travel Rule enforcement and institutional qualified custody standards.
Primary Governing Statutes & Rulebooks
- Securities and Capital Markets Act of Sweden
- FI Licensing, Prudential Capital Adequacy & Conduct of Business Rules
- Client Money & Custody Asset Segregation Regulations (Sweden)
- IOSCO Principles of Securities Regulation & National AML/CFT Rulebook
Regulatory Reporting & Audit Obligations
Quarterly capital adequacy returns and annual IFRS audited financial statements submitted to FIAnnual independent auditor attestation on Client Money and Safe Custody complianceTransaction reporting, market abuse surveillance (MAR), and AML/CFT suspicious activity reporting
Cross-Border Equivalence & Passporting
Eligible for EU/EEA MiFID II and MiCA cross-border freedom-of-services passporting across 30 EEA member states.
Supervised institutions & FI licence records in our database
9 licence records referencing FI (9 regulated/registered).
| Institution | Licence number | Status | Licensed legal entity | Effective date | Verification |
|---|---|---|---|---|---|
| Nordea | 11681 | Regulated | Nordea Bank Abp, filial i Sverige | 2018-08-09 | |
| SEB | 11102 | Regulated | Skandinaviska Enskilda Banken AB | 1993-09-30 | |
| Svenska Handelsbanken | 11123 | Regulated | Svenska Handelsbanken AB | 1993-09-30 | |
| Swedbank AB | 502017-7753 | Regulated | Swedbank AB | 1993-09-30 | |
| BAM(Global network record) | 66822 | Regulated | Binance Nordics AB | — | |
| Binance(Global network record) | 66822 | Regulated | Binance Nordics AB | 2023 | |
| FXGlobe(Global network record) | 33750 | Regulated | FXGlobe Ltd | 2013-12-16 | |
| Bitpanda(Global network record) | Number pending check | Regulated | Bitpanda | — | |
| Ikano(Global network record) | 11153 | Regulated | Ikano Bank AB (publ) | — |
FI (Sweden): institutional licensing & due diligence FAQ
Key statutory capital, compensation, custody segregation, and verification answers for compliance teams.
What are the primary licensing classes and minimum capital requirements under FI (Sweden)?
FI (Swedish Financial Supervisory Authority) supervises financial institutions in Sweden under Securities and Capital Markets Act of Sweden and FI Licensing, Prudential Capital Adequacy & Conduct of Business Rules. Key statutory authorisation classes include: Category 1 / Principal Broker-Dealer (Full-Scope Securities & Derivatives Dealer (Market Maker / Principal) — min. capital: USD $500,000 – $1,000,000+ (or EUR €750,000) minimum regulatory capital); Category 2 / Agency Broker & Asset Manager (Securities Brokerage (Agency / STP) & Discretionary Portfolio Management Licence — min. capital: USD $150,000 – $250,000 (or EUR €150,000) minimum base capital). Ongoing prudential supervision requires strict adherence to capital adequacy and liquidity buffers.
Does FI provide statutory investor compensation and mandatory client asset segregation?
Under FI's framework, investor protection is governed by National Investor Protection / Compensation Scheme (Sweden) with maximum coverage of EUR €20,000 – USD $100,000+ equivalent per eligible retail investor (Retail clients of licensed securities and investment brokerage firms.). For client money and custody assets, supervised firms must comply with FI Client Money & Safe Custody Segregation Rules, performing daily reconciliation of segregated client trust bank accounts against client trading ledger balances. with client funds and securities must be held in bankruptcy-remote statutory trust accounts at licensed commercial banks or central securities depositories..
How does FI regulate digital assets, crypto exchanges (VASPs/CASPs), and stablecoins?
FI's digital-asset regime is structured around FI Digital Asset / Tokenized Securities & VASP Regulatory Framework (Unified EU MiCA (Regulation (EU) 2023/1114) CASP licensing and DLT Pilot Regime.). Custody and AML/CFT compliance obligations require: FATF Recommendation 16 Travel Rule enforcement and institutional qualified custody standards.
How can I verify an institution's FI licence number and check our 9 recorded licence entries?
Our database currently tracks 9 licence records referencing FI (9 marked regulated or registered). To verify a counterparty at the primary source, open FI's official public register (https://www.fi.se/en/our-registers/), search by the exact reference number and legal entity name, and confirm that the firm's domain and permitted activities match its statutory authorisation.
Related regulatory & market structure briefings
Research and compliance analysis from FinLexicon Wiki relevant to FI and Sweden.
Derivatives Margin & Prudential Regulation
ISDA 2026 SIMM Risk Weights, Uncleared Margin Rules (UMR) Thresholds & VM/IM Collateral Eligibility
ISDA Standard Initial Margin Model (SIMM) refers to a parametric, sensitivity-based methodology calibrated across a 10-day margin period of risk (MPOR) at a 99% confidence interval to calculate regulatory initial margin for non-centrally cleared over-the-counter (OTC) derivatives under BCBS-IOSCO Uncleared Margin Rules (UMR).
Prudential Regulation & Capital Standards
Expanded Risk-Based Approach (ERBA) Basel III Endgame Standard: Statutory Definition, Regulatory Scope & Compliance Deadlines (-4.8% Cat I/II CET1 Change Benchmark)
Expanded Risk-Based Approach (ERBA) Basel III Endgame Standard (BASEL-ERBA-2026) stands at -4.8% (Cat I/II CET1 Change) (Source: Federal Reserve / OCC / FDIC, 2026-10-20), governing exact rule citations, covered entities
Market Microstructure & Derivatives Taxonomy
Expanded Risk-Based Approach (ERBA) Basel III Endgame Standard: Balance-Sheet Netting Mechanics & RWA Capital Weight Calculation (-4.8% Cat I/II CET1 Change Benchmark)
Expanded Risk-Based Approach (ERBA) Basel III Endgame Standard (BASEL-ERBA-2026) stands at -4.8% (Cat I/II CET1 Change) (Source: Federal Reserve / OCC / FDIC, 2026-10-20), governing multilateral netting compression and T
ISDA & Counterparty Credit Lexicon
Expanded Risk-Based Approach (ERBA) Basel III Endgame Standard: Clearinghouse Default Waterfall & Margin Segregation Rules (-4.8% Cat I/II CET1 Change Benchmark)
Expanded Risk-Based Approach (ERBA) Basel III Endgame Standard (BASEL-ERBA-2026) stands at -4.8% (Cat I/II CET1 Change) (Source: Federal Reserve / OCC / FDIC, 2026-10-20), governing omnibus versus legally segregated oper
Statutory licensing classes, base capital rules, and investor protection summaries for FI (Sweden) are maintained for institutional benchmarking and do not constitute legal advice. Always verify current rulebooks and active firm authorisations directly on FI’s official public register.