The Disciplinary Committee handles breaches of applicable regulations by listed companies and trading members.
While Spotlight is not legally required to establish a disciplinary committee, it has been done voluntarily to increase the create safety for Spotlight and its listed companies. With a disciplinary committee, Spotlight’s companies and members will have their cases reviewed before any action is taken as a result of regulatory breaches.
The Disciplinary Committee is an autonomous body that makes its decisions wholly independent of Spotlight. The Disciplinary Committee is comprised of several of Sweden’s leading attorneys and experts in securities law. The Disciplinary Committee has a chairman and three members.
Anders Ackebo, previously head of Listing and Surveillance at the NASDAQ OMX stock exchanges, is Chairman of the Disciplinary Committee. Before that he built up and was responsible for the compliance function within the SEB Group worldwide. Anders Ackebo was employed at the SFSA as head of licensing and supervision of securities firms. He has also served as a legal expert in the Ministry of Finance with responsibility for pensions law, among other things. In addition to being Chairman of the Disciplinary Committee, Anders Ackebo is a member of the Swedish Securities Council and a member of the Nordic Growth Market’s disciplinary committee.
Björn Wendleby is a member of the Disciplinary Committee. He has previously worked at the SFSA and has years of experience from the Swedish judicial system, including as an Associate Judge of Appeal. He also served as a special investigator in the implementation of the EU’s rules on prospectuses in 2004. Björn Wendleby is a founder and partner at Harvest, a legal firm specializing in finance law.
Ann-Christine Lindeblad is a member of the Disciplinary Committee. Ann-Christine is a Justice of the Supreme Court and has previous experience as secretary and expert at the Ministry of Finance between 1984 and 1998. She has also been a special investigator in the Ministry of Finance on a number of investigations since 2011, including MiFID II, MAR/MAD and the previous AIF investigation. Ann-Christine Lindeblad is Deputy Chairman of the Swedish Securities Council and Nasdaq Stockholm’s disciplinary committee and a member of SwedSec’s disciplinary committee.
Helene Willberg is a member of the Disciplinary Committee. Helene has over 25 years of experience providing transaction advisory, corporate finance and audit services to multinational corporations. Her experience is primarily Nordic market, she has counseled companies on a diverse set of corporate growth strategies including public market offerings, divestitures and acquisitions as well as corporate governance and value creation. Helene is a Managing Director with Alvarez & Marsal Transaction Advisory Group in Stockholm.