Comisión Nacional del Mercado de Valores (CNMV)

Registration No. 4476

The Comisión Nacional del Mercado de Valores (CNMV, Spain) is the agency in charge of supervising and inspecting the Spanish Stock Markets and the activities of all the participants in those markets. It was created by the Securities Market Law, which instituted in-depth reforms of this segment of the Spanish financial system. The purpose of the CNMV is to ensure the transparency of the Spanish market and the correct formation of prices in them, and to protect investors. The CNMV promotes the disclosure of any information required to achieve these ends, by any means at its disposal. Read more

Autorité des Marchés Financiers (AMF)

The Autorité des Marchés Financiers (AMF, France) is the independent public authority responsible for safeguarding the integrity of the French financial marketplace. The AMF exercises, inter alia, supervision and regulation of financial markets, oversight of investment products and market participants, and ensures that investors are properly informed. The AMF’s mission is to protect savings invested in financial instruments, ensure that markets operate efficiently and transparently, and promote financial stability. It also plays a leading role in shaping regulatory developments at both European and international levels. As a regulator with financial and managerial independence, the AMF works to enhance market integrity, support sustainable finance initiatives—including the monitoring of climate-related disclosures—and provide assistance to investors through its financial ombudsman. Read more

Finansinspektionen (FI)

The Finansinspektionen (FI, Sweden) is the financial supervisory authority in Sweden that monitors and analyses trends in the Financial market, assessing the Financial health of individual companies. FI supervises compliance with statutes, ordinances and other regulations, provides supervision regarding the Swedish Insider Act, and investigates cases of suspected offences and share price manipulations.
FI issues regulations and guidelines assessing on whether existing legislation needs to be amended. It issues permits to companies that wish to provide financial services, designs rules and regulations for financial activities and supervises on these rules and on the performance of risk assessments.
FI is also responsible for monitoring that companies disclose complete and clear information to consumers and ensures that routines for such information function satisfactorily Read more

Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin)

Registration No. 156350

The Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin, Germany) is the integrated supervisory authority for Germany’s financial market.
It is responsible for supervising credit institutions, financial services providers, asset management companies, insurance undertakings, pension funds (supervised entities) and securities trading.
BaFin acts decisively and judiciously to contribute to the proper functioning, stability and integrity of the German financial system in a European and international context, thus fulfilling its statutory mandate to the best of its ability. Read more

Finanstilsynet

Registration No. FT00118482

The Finanstilsynet (Norway) is the Financial Supervisory Authority of Norway. Finanstilsynet is an independent government agency that builds on laws and decisions emanating from the Storting (Norwegian parliament), the government and the Ministry of Finance. Finanstilsynet also participates in extensive international cooperation. Through the EEA Agreement, EU financial market regulation is implemented in Norwegian law. Finanstilsynet’s main goal is to promote financial stability and well-functioning markets.
Finanstilsynet supervises how the institutions operate in the financial markets, whether they are financially sound and able to cope with changing economic conditions, and whether they have an acceptable risk level. Read more

Finanssivalvonta (FIN-FSA)

The Finanssivalvonta, or the Financial Supervisory Authority (FIN-FSA, Finland), is the authority for supervision of Finland’s financial and insurance sectors. The authority supervises entities that include banks, insurance and pension companies, as well as other companies operating in the insurance sector, investment firms, fund management companies and the Helsinki Stock Exchange. Administratively they operate in connection with the Bank of Finland, but they make independent decisions in their supervisory work.
The main objective of FIN-FSA activities is to enable balanced operations of credit institutions, insurance and pension companies and other supervised entities in stable financial markets. FIN-FSA’s additional objective is also to protect the rights of the insured and foster public confidence in financial market operations.
Furthermore, FIN-FSA is responsible for promoting compliance with good practice in financial markets and disseminating general knowledge about the markets. These objectives and duties have been included in the Act on the Financial Supervisory Authority. Read more

Authority for Financial Markets (AFM)

The Authority for the Financial Markets (AFM, Netherlands) has been responsible for supervising the operation of the financial markets since 1 March 2002. This means that AFM supervises the conduct of the entire financial market sector: savings, investment, insurance, loans, pensions, capital markets, asset management, accountancy and financial reporting. The AFM is committed to promoting fair and transparent financial markets.
The AFM conducts its supervision by means of inspections, enforcement and transfer of standards, and in so doing expressly monitors signals originating from the market and findings from its own control organisation. If the AFM identifies any breaches, it can impose sanctions. It may issue instructions or public warnings, place institutions under undisclosed custody, withdraw licences, cancel or refuse registrations or file reports with the Public Prosecution Service.

Finanstilsynet (FSA)

The Finanstilsynet or the Danish Financial Supervisory Authority (FSA, Denmark) is the authority for supervision of Denmark’s financial, insurance sectors as well as securities markets. They monitor that listed companies comply with their obligations to publish internal knowledge and other relevant information. They supervise the stock market area which also includes supervision that prospectuses are published when securities are offered to the public and that prospectus material meets all statutory requirements. Finally, the Danish FSA monitors the markets with a view to intervening in market abuse (insider dealing and price manipulation).
In addition to supervisory activities, the Danish FSA assists in drawing up financial legislation and issues executive orders for the financial area. Finally the Danish FSA collects and communicates statistics and key figures for the financial sector. Read more