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Nasdaq’s Sweden Bourse Fined by Watchdog for Insider Trade Flaws

Christopher Jungstedt
·1 分鐘文章

(Bloomberg) -- Nasdaq Inc’s stock exchange in Sweden has been fined 100 million Swedish kronor ($9.6 million) by the country’s financial watchdog over deficiencies in how the bourse keeps track of insider dealing violations.

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The investigation carried out by the Financial Services Authority showed flaws in how Nasdaq Stockholm conducted its trade monitoring in connection with “four major company events” in 2021 and 2022. That monitoring “should prevent, identify and report insider dealing,” the regulator said in a statement on Wednesday.

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The probe also showed that Nasdaq had initiated trading in two financial instruments, in 2022 and 2023, in violation of the regulatory framework since the FSA hadn’t approved and registered prospectuses for the instruments. However, the violations are not deemed serious enough to withdraw the stock exchange’s authorization, the FSA added.

“While we maintain our position that we had sufficient capabilities to detect insider dealings, we will now need to consider the decision in detail and assess the Swedish FSA’s interpretation of our obligations and its implications,” said Adam Kostyal, President of Nasdaq Stockholm, in emailed comments to Bloomberg.

--With assistance from Charles Daly.

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