Nordic Issuing

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Management of conflicts of interest

Management of conflicts of interest

According to regulatory obligations, Nordic Issuing shall take all reasonable measures to identify and manage conflicts of interest that arise in the provision of services that require authorisation from the Swedish Financial Supervisory Authority and prevent customers’ interests from being negatively affected by conflicts of interest that have arisen. Nordic Issuing works continuously to identify, manage, and eliminate conflicts of interest by introducing rules and using various control systems. All to contribute to a healthy securities market and that all customers feel secure in their business with us.

For this purpose, Nordic Isusing has, among other things, established a function for handling conflicts of interest (the “Conflict of Interest function”) provided by the legal advisor MCL. The function is tasked with assisting the business in assessing and advising on the management of conflicts of interest as well as the administrative handling of documentation and internal reporting regarding conflicts of interest.

Nordic Issuing works continuously to identify the conflicts of interest that may arise between Nordic Issuing, any related company, or any person related to them, and a customer or between customers in connection with projects and assignments.

Nordic Issuing shall pay special attention to conflicts of interest that may arise as a result of remuneration or benefits from the institute’s own remuneration system or other incentive structures.

A conflict of interest is at hand when a conflict arises between Nordic Issuing’s interests, or the interests of persons related to Nordic Issuing, and Nordic Issuing’s obligations to a customer or between the different interests of two or more of Nordic Issuing’s customers against whom Nordic Issuing has an obligation. Conflicts of interest that are identified must be reported on an ongoing basis in accordance with Nordic Issuing’s internal regulations. If the measures taken are not sufficient to prevent customers’ interests from being adversely affected by conflicts of interest, Nordic Issuing shall inform the customer of the conflicts of interest before the company undertakes to perform any services on behalf of the customer.

Nordic Issuing manages conflicts of interest through an escalation process, which is carried out in the following steps:

  1. Identification
  2. Reporting
  3. Assessment
  4. Handling
  5. Possible provision of information on conflict of interest to the customer
  6. Documentation
  7. Follow-upNordic Issuing has a clear structure for division of responsibilities and governance to avoid conflicts of interest through a division into different organizational units for the separation of business functions. Furthermore, through its work processes, Nordic Issuing has created duality in its operations so that no individual can take measures in order to benefit themselves or Nordic Issuing at the expense of a customer or other counterparty.All staff at Nordic Issuing are also prohibited from trading in financial instruments on the Spotlight Stock Market, with the exception of Spotlight Group AB:s share. Prohibition of trading also applies to companies to which Nordic Issuing has a customer relationship.Information about third party incentives

Nordic Issuing does not issue or receive incentives from third parties or persons acting on behalf of third parties.