Authorisations from the Swedish FSA

Authorisations from the Swedish FSA

Nordic Issuing is a securities company under the supervision of Finansinspektionen (the Swedish FSA) with the following authorisations:

Authorisation to conduct securities operations in the form of:

• the reception and transmission of orders in respect of one or more financial instruments;
• execution of orders for financial instruments on behalf of clients;
• placing of financial instruments without a firm commitment basis;

(Chapter 2, 1 § subsections 1, 2, and 7 of the Swedish Securities Market Act (2007:528))

Authorisation to, as ancillary services:

• store financial instruments on behalf of customers and receive funds with accountability;
• advice to undertakings on capital structure, industrial strategy and related matters and advice and services relating to mergers and the purchase of undertakings;
• perform foreign exchange services where these are connected to the provision of investment services;
• services related to underwriting.

(Chapter 2, 2 § first paragraph, subsections 1, 3, 4, and 6 of the Swedish Securities Market Act (2007:528))”