GRC Report Staff

On September 15, 2026, Finansinspektionen (FI) adopted amendments to three regulations in the securities area to reflect the amended MiFID II delegated directive adopted in connection with the EU Listing Act. The changes take effect October 1, 2026, which leaves a short implementation window for investment firms, fund managers, and AIFMs operating in Sweden.On September 15, 2026, Finansinspektionen (FI) adopted amendments to three regulations in the securities area to reflect the amended MiFID II delegated directive adopted in connection with the EU Listing Act. The changes take effect October 1, 2026, which leaves a short implementation window for investment firms, fund managers, and AIFMs operating in Sweden.

On September 15, 2026, Finansinspektionen (FI) adopted amendments to three regulations in the securities area to reflect the amended MiFID II delegated directive adopted in connection with the EU Listing Act. The changes take effect October 1, 2026, which leaves a short implementation window for investment firms, fund managers, and AIFMs operating in Sweden.

ASIC has remade three legislative instruments and extended a fourth for five years, preserving existing relief for exchange-traded derivatives disclosure, trans-Tasman securities settlement, foreign securities transfers, and securities lending. The relief itself is unchanged, but the instruments have new numbers and some wording and reference updates. Compliance teams should confirm that policies and legal references cite the correct instruments.

ASIC Gazette A37/26 (September 15, 2026) is a routine notice that proposes deregistering one managed investment scheme, proposes striking off five foreign companies, confirms the strike-off of three others, and announces five company type conversions. Compliance teams with exposure to any named entity should verify counterparty records and update registers before the effective dates.

The Norway Financial Supervisory Authority (Finanstilsynet) has published a warning about aureoncorevix-fr.com, a website originally flagged by France's Autorité des Marchés Financiers (AMF) on its crypto-currency blacklist. Compliance teams should treat the domain as a high-risk, likely fraudulent crypto platform and update screening controls and customer-protection measures accordingly.

On September 15, 2026, BaFin published Circular 12/2026 (WA), which addresses the licensing procedure for alternative investment fund (AIF) management companies under Section 22 of the German Capital Investment Code (KAGB). Only the title and metadata were available, and the PDF was not accessible, so the specific requirements are unconfirmed. Compliance teams at current and prospective German AIF managers should obtain the full text promptly to assess its effect on authorization applications and ongoing licensing obligations.

When the Securities and Exchange Commission settled with SG Americas Securities in August 2023, one paragraph of the order concerned a document that did not yet exist. The firm had agreed to hire a consultant to test its repairs and to send the written results to the Commission’s staff. The order said the report was intended to remain nonpublic, with four exceptions, including a court order, the parties’ written agreement, a Commission determination that disclosure would further its duties, or a legal requirement. It gave the reasons. The report would likely contain confidential commercial information, and publication could discourage cooperation or impede government investigations.