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The Legislative Provisions On The Procedures For Submitting Information For The Official Required Information Centralised Storage System

Original Language Title: Normatīvie noteikumi par kārtību, kādā iesniedzama informācija Oficiālajai obligātās informācijas centralizētās glabāšanas sistēmai

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Financial and capital market Commission, the provisions of regulations No 60 in Riga, 28 March, 2017 (financial and capital market Commission Council meeting Protocol No 15 4. p.)
The legislative provisions on the procedures for submitting information for the official required information centralised storage system Issued pursuant to the financial instruments market likuma 64.2 the second paragraph of article i. General questions 1. "the legislative provisions on the procedures for submitting information for the official required information centralised storage system" (hereinafter referred to as the rules) determines: 1.1. Official required information centralised storage system (storage system official) creation and maintenance; 1.2. minimum requirements for the dissemination of information; 1.3. the arrangements for the transmission of information official storage system. 2. The rules are binding on: 2.1.-capital company issuers whose transferable securities are included in the regulated market and to which the Member State of origin has the Republic of Latvia; 2.2. persons who have requested the inclusion of the transferable securities of the Republic of Latvia to the regulated market where the admission of transferable securities on a regulated market, the issuer has not asked himself, (the third party). 3. The official storage system creates and maintains financial and capital market Commission (hereinafter the Commission). II. mandatory disclosure principles 4. mandatory disclosure of financial instruments market law in accordance with the procedure laid down in article 64.2, including submitting their official storage system. Official storage system is a wide audience on the internet portal (address: https://csri.investinfo.lv/). 5. the issuer or a third party, the information disclosed must be accurate, error-free and unambiguous, its content must not be misleading, it should not exclude or include anything that would affect the contents or information provided. III. Procedures for storage that can be entered into the official system, edited and published the information 6. Regulated information within the meaning of this paragraph is the financial instruments market law in article 1, first paragraph, paragraph 47 of the required information, including, in accordance with Regulation No 596/2014 disclosures. Enter information on the types of information: 6.1 periodic regulated information: 6.1.1. annual financial statements and audit reports, information disclosed in accordance with the financial instruments market law and in article 56 of the financial instruments market law 56.1 56.2 56.3 56.4, the article provided that, together with the annual report; 6.1.2. the half-yearly financial reports and audit reports/inspection – limited information disclosed in accordance with the financial instruments market law of article 57; 6.1.3. payments to Governments – information that is disclosed in accordance with the financial instruments market law article 57.3; 6.2. Permanent regulated information: 6.2.1. the Member State of origin, the information disclosed in accordance with the financial instruments market law 3.1 article; 6.2.2. inside information – information that is disclosed in accordance with European Parliament and Council of 16 April 2014 to Regulation (EU) no 596/2014 concerning the market abuse (market abuse Regulation) and repealing Directive 2003/6/EC of the European Parliament and of the Council and Commission directives 2003/124/EC, 2003/125/EC and 2004/72/EC 17.  and the requirements of article 19; 6.2.3. notification of significant shareholdings – information to be transmitted in accordance with the financial instruments market law article 61 and disclosed in accordance with the financial instruments market law in the third paragraph of article 61.3; 6.2.4. the issuer's own acquisition or disposal of shares – information that is disclosed in accordance with the financial instruments market law 61.4 article; 6.2.5. the total number of voting rights and capital – information that is disclosed in accordance with the financial instruments market law article 61.1 ninth; 6.2.6. the changes in the law relating to the shares or securities categories-information about changes to the securities law disclosures in accordance with the financial instruments market law 54. the second paragraph of article 5 and the third paragraph of point 6; 6.3. additional regulated information that must be disclosed in accordance with the laws of a Member State: 6.3.1. additional regulated information that must be disclosed in accordance with the laws of a Member State, that is, information that the content does not match any of the rules 6.1 and 6.2 of the information referred to in paragraph types, but which should be disclosed in the Republic of Latvia in accordance with the other financial instruments market regulatory requirements of the law, including under the financial instruments market law 54. the second paragraph of article 1-point 4 2.1 part, third, parts 1-5, sixth, seventh, tenth, twelfth, thirteenth, 57.2.
7. the information Entered, you can add file attachments (financial statements in URu.tml.). 8. Enter the status of the information types are: 8.1 status "in Progress" when the information is visible only to the issuer or a third party, but not published in the official storage system. "Progress" status is assigned as soon as the information you enter is stored in the official storage system, but not yet available to the public; 8.2. the status ' published ' when the information is posted on the official storage system and is publicly available. The status ' published ' the issuer or the third party grants, to enter information to be published in the official storage system; 8.3. status "cancelled" when the published information is no longer publicly available on the official storage system. Status "cancelled" on its own initiative the Commission may assign to the information which does not comply with the financial instruments market law or the requirements of this regulation or is contrary to generally accepted ethical norms, or by the issuer or a third party's request, if the error in the official storage system is published information that should not be publicly available or which are liable to mislead the public. 9. Information published in the repair order: 9.1 when the issuer or a third party, the information you entered to be granted the status of "published" in the official storage system specific information is assigned a version no. 1; 9.2. the information entered in the error correction is possible by creating a version of the information entered in the Nr. 2, etc.; 9.3. creating a new version shall be published immediately and necessarily a comment explaining the reason for the creation of new versions and indicates that the new version of the published information has changed compared to the previous version of the published information; 9.4. creating a new version, the previous version will remain available to the public; 9.5. creation of new versions of information is permitted only published information errors (grammatical, typographical errors, etc., the added file incomplete information URu.tml.); 9.6. in the light of the provisions set out in article 9.4, if a situation that information published by content or nature is such that it is not permissible to retain its public availability (for example, error, including one of the attached files, publish such information in accordance with the law should not be publicly available or public accessibility can mislead investors save), the issuer or a third party shall immediately inform the Commission in writing without delay and requests the Commission to provide public information was erroneously published downtime the published information, giving the status of "canceled", as provided for in paragraph 8.3 of these rules. 10. the Detailed arrangements for the system of official storage can be entered, edited and published the information, certain official storage system instructions for use that are available on the official storage system. 11. Use of languages in the official disclosure of information storage system, the issuer or the third party's compliance with the financial instruments market law requirements set out in article 64.1. IV. Official storage system use 12. enter and publish the official information storage system is the Commission and the Commission registered users. Registered users can become only the issuer or a third party specified natural persons. 13. to an issuer or third party registered in the official storage system user, it shall submit to the Commission a signed this provision in annex 1 attached to the application. The issuer or the third party must provide the official storage system number of users, to ensure continuous opportunity without delay disclose mandatory information. 14. further to the issuer or a third party submission, the Commission designates in the application be granted official permission to use the storage system. The official storage system user name and password is sent to the person's e-mail address. 15. The official storage system users are banned from your user name and password disclosure and put other people. 16. A change in the information previously submitted to the Commission in the official register storage system user data (such as name, e-mail address, phone number, contact the official storage system users, etc.), the issuer or the third party to prepare and submit to the Commission without delay of these provisions in annex 2 attached to the application. 17. when the issuer or a third party application for changes to user data, the Commission shall make the appropriate changes. 18. a detailed official storage system user passwords, use, Exchange and new password procedure set out the official storage system instructions for use that are available on the official storage system. 19. The issuer or a third party is obligated to submit to the Commission without delay the provisions of annex 3 of the attached submission, if an issuer or third party representatives lose rights of the issuer or a third person to enter and publish official information storage system, asking to cancel the official storage system user rights specified in the application to the person (or persons). 20. the Commission grant, revoke, and renew the user access to the storage system the official, as well as make changes to user data within two working days after the issuer or a third party receipt of the application. 21. If the issuer or a third party of its independent reasons encountered technical problems that may prevent you enter the required information and the official publication of the storage system, the issuer or a third party shall immediately inform the Commission thereof. 22. The Commission is entitled to block the user's access to the official storage system at its own initiative, if the user performs activities that interfere with the official storage system for user rights lock immediately informing the issuer or a third party. 23. If the shares of the issuer with the regulated market by the decision of the Organizer is excluded from the regulated market or automatically terminated the issuer's debt securities to trading on a regulated market of debt securities in connection with the deletion, on its own initiative the Commission shall withdraw the relevant issuer in all Commission registered users access to the official storage system. V. responsibility for accuracy of information 24. the issuer or a third party is responsible for the official storage system for the accuracy of the information published. 25. The Commission does not have the right to correct the issuer or a third party in the information published in the storage system. 26. the Commission has the right to the official storage system to add your comment about an issuer or third party published information. VI. final question 27. entry into force these rules shall lapse at the Commission of 26 April 2007 legislative provisions no. 55 "the legislative provisions on the procedures for submitting information for the official required information centralised storage system". Financial and capital market Commission President p. Birdie annex 1 financial and capital market Commission 28.03.2017. regulatory arrangements no 60 financial and capital market Commission, Kungu 1 Riga, LV-1050 [year]. on [date]. [month] Application for official storage system user (s) of REGISTRATION … … … … … … … … … … … … … … … … … … … … … … … … … … … please register the following Parties (or third parties of the issuer name) official storage system users.  
1. ................................. (vārds)   ................................. (uzvārds)   ................................. (ID code – resident; birth date, month and year – non-resident) … … … … … … … … … …. (e-pasta adrese)   ................................. (phone number) 2. .................................   3. .................................    The issuer or a third party, the user of the current full full list first name last name social security number ** e-mail address ** table indicates the actual, full users, t.sk. the audit trail, in accordance with this application users. ** ID code – resident; birth date, month and year – non-residents.
That person is entitled …..................................................................... "and enter the name (or a third party issuer name) to publish the official information storage system.
.......................................... (vārds, uzvārds)   .......................................... (amats)   ............................ (signature)  
  Annex 2 financial and capital market Commission 28.03.2017. regulatory arrangements no 60 financial and capital market Commission, Kungu 1 Riga, LV-1050 [year]. on [date]. [month] The application of changes to registered USERS of the official storage system (s)........................................................................... "Please make the following change (s) (s) registered (or a third party issuer name) official storage system (s) of user data.  
      User data before changes after first name last name social security number * e-mail address phone number personal code – resident; birth date, month and year – non-residents.
.......................................... (vārds, uzvārds)   .......................................... (amats)   ............................ (signature)  
  Annex 3 financial and capital market Commission 28.03.2017. regulatory arrangements no 60 financial and capital market Commission, Kungu 1 Riga, LV-1050 [year]. on [date]. [month] Application for official storage system (s) of the user revoking the LAW........................................................................... "Please exclude the following from the official (or a third party issuer name) storage system in the list of users.  
1. ................................. (vārds)   ................................. (uzvārds)   ................................. (ID code – resident; birth date, month and year – non-resident) … … … … … … … … … …. (e-pasta adrese)   ................................. (phone number) 2. .................................   3. .................................   The issuer or a third party, a full member of the current full list of users * first name last name social security number * e-mail address * in the table refers only to the actual, full users, without showing them to users in accordance with this application user rights is void. ** ID code – resident; birth date, month and year – non-residents.
.......................................... (vārds, uzvārds)   .......................................... (amats)   ............................ (signature)