Financial and capital market Commission, the provisions of regulations No 96 Riga 6 June 2017 (financial and capital market Commission Council meeting Protocol No 26 3. p.) The amendments to the regulations the provisions on "procedures for the reporting of Regulation No 596/2014 of actual or possible irregularities" Issued pursuant to the financial instruments market law. Article 84 of the third subparagraph of paragraph 4 and the investment management company law the third paragraph of article 86.1 do financial and capital market Commission 17.08.2016. normative regulations No 139 "the legislative provisions on the procedures for the reporting of Regulation No 596/2014 actual or alleged violations" (hereinafter the rules) the following amendments : 1. Express provisions of title as follows: "the legislative provisions on the procedures for the reporting of financial instruments market regulatory legislation actual or possible irregularities". 2. Express provisions paragraph 1 by the following: "1." the legislative provisions on the procedures for the reporting of financial instruments market regulatory legislation actual or alleged violations "(hereinafter the rules) determines the order in which: 1.1. shall report to the financial and capital market Commission (hereinafter the Commission) on Regulation No 596/2014 and investment management company law and on that basis, the Commission issued regulatory rules to actual or alleged violations (hereinafter also – infringements together or separately, each violation); 1.2. The Commission shall examine the reports of threats received. ". 3. Make provision in paragraph 2, the introductory phrase of the first sentence by the following: "2. the Commission shall appoint the person responsible for the report on the irregularities in the proceedings.". 4. Make the following point 2.3 of the rules: "rules 2.3 in these cases contact the person who submitted the report to the Commission of an offence (ziņotājperson).". 5. Express provisions of paragraph 5 by the following: "5. the Ziņotājperson report on the violations may be submitted to the Commission: 5.1 for the infringement of Regulation No 596/2014:5.1.1 when sending electronically to the email address MARparkapumi@fktk.lv; 5.1.2 5.1.2.1. communicating orally: by telephone (+ 371) 6777 4955, 5.1.2.2. when providing information on-the-spot; 5.1.3. the writing, sending to the address Kungu 1, Riga, LV-10510. If the ziņotājperson report on violations submitted in writing, indicate on the envelope the "Regulation No 596/2014 message"; 5.2. Investment management company law and on that basis, the Commission issued regulatory rules: 5.2.1. sending electronically to the email address IPSparkapumi@fktk.lv; 5.2.2. interpreting: 5.2.2.1. communicating by phone (+ 371) 6777 4956; 5.2.2.2. when providing information on-the-spot; 5.2.3. in writing by sending to the address Kungu 1, Riga, LV-1050. If the ziņotājperson report on violations submitted in writing, indicate on the envelope the "investment management company report" of the law. " 6. Express provisions 12.1. paragraph by the following: "the nature of the irregularity of 12.1, such as market manipulation, insider trading, accounting and housing regulations, false declarations or public distribution, etc.;". 7. To express rules 12.3., 12.4 and 12.5 of the following paragraph: "12.3. information about the person that is suspected of having committed an offence (for example, personally identifiable information, if any, of the ziņotājperson is known); 12.4. details of conditions that are based on suspicion that the person on whom an alert has been, has done it; 12.5. any other information that may be relevant in assessing alleged infringement; ". 8. Express provisions 19.2. paragraph by the following: "report on infringements 19.2 does not contain such information, to the Commission as a basis to start checking for possible infringement.". 9. Express provisions in this paragraph 22.3: "22.3. take another law designed to ensure prevention.". Financial and capital market Commission Vice-President g. Razān»