Financial And Capital Market Participants About The Payment Of Financial And Capital Market Commission For Funding In 2008, Discovery And Reporting Of Legislative Provisions

Original Language Title: Finanšu un kapitāla tirgus dalībnieku maksājumu apmēra Finanšu un kapitāla tirgus komisijas finansēšanai 2008.gadā noteikšanas un pārskatu iesniegšanas normatīvie noteikumi

Read the untranslated law here: https://www.vestnesis.lv/ta/id/168636

Financial and capital market Commission, the provisions of regulations No 183 of 2007 in Riga on December 21 (Mon. No 52, 6 p.)
Financial and capital market participants about the payment of financial and capital market Commission for funding in 2008, discovery and reporting of legislative provisions Issued pursuant to the financial and capital market Commission of the law article 17, paragraph 7, and article 22 – 24. I. General questions 1. Legislative provisions (hereinafter referred to as the rules) are binding on insurers, private pension funds, investment companies regulated market organizers, Latvian Central Depositary , investment management firms, credit unions and credit institutions (hereinafter referred to as the financial and capital market participants), as well as foreign branches of economic operators in accordance with the law to give financial services in Latvia (hereinafter foreign merchant affiliates).
2. the rules are not binding on the electronic money institutions which, under the law of credit institutions receive financial and capital market Commission issued a license (permission) for the operation of the credit institution.
II. the extent of Financing 3. Financial and capital market participants the financial and capital market Commission (hereinafter the Commission) for the financing of activities in 2008 are the following: 3.1 the insurer received the payment of the quarterly total insurance premiums amounting to: 3.1.1.0118 percent of road transport owners civil liability compulsory insurance operations;
3.1.2.0.12 percent of life insurance with savings of building operations;
3.1.3. other insurance 0.306 percent of operations;
3.2. private pension fund payments to 0.182 percent of retirement plan participants and their good quarterly instalments in the private pension funds licensed in pension plans;
3.3. investment brokerage firm charges 0.6 percent of the brokerage firm business gross revenue in the quarter, but not less than 2 000 Lats per year from each of the brokerage firm;
3.4. organiser of regulated market charges 1.25 percent of regulated market Organizer business gross revenue in the quarter, but not less than 5 000 LVL per year from each of the organizer of the regulated market;
3.5. the Latvian Central Depository charges 1.25 percent of gross business revenue of the depositary in the quarter, but not less than 5 000 LVL per year;
3.6. investment management company charges 0.18 percent in the amount of the investment management company for the management of investment funds in the middle of the quarter, the amount of assets but not fewer than 2 500 million lats a year from each of the investment management companies;
3.7. credit unions 0.028 percent payments from credit unions, the average size of assets per quarter;
3.8. credit payment 0.00268 percent of the supervision of credit institutions, the average amount of assets in the quarter.
4. branches of foreign merchant payments to finance the activities of the Commission in 2008 will be determined in accordance with paragraph 3 of this rule, according to their scope.
 
5. the financial and capital market players, which has a branch in a foreign country and who make payments also foreign supervisory authority of the foreign country concerned: monitoring 5.1. payment for financing the activities of the Commission during the period is reduced by foreign supervisory authority the amount of the payment to be converted into local currency at the Bank of Latvia exchange rate the last calendar day of the period;
5.2. no mutual relation with the Commission if the amount of the duty foreign supervisory authority exceeds the amount of the payments for the financing of the activities of the Commission during the period.
III. Payment and arrangements 6. Financial and capital market participants to review the quarter following month 30. date to be submitted to the Commission for the following reports: 6.1. insurers ' review of insurer payment calculation for financial and capital market Commission for financing "(annex 1);
6.2. private pension funds ' review of the private pension fund payment calculation of financial and capital market Commission for financing "(annex 2);
6.3. the investment brokerage firms "review of investment brokerage company payment calculation for financial and capital market Commission for financing" (annex 3);
6.4. the investment management companies "review of investment management company payment calculation for financial and capital market Commission for financing" (annex 4);
6.5. the organizers of the regulated market and the Latvian Central Depositary "review of a regulated market the Organizer/Latvian Central Depository payment calculation of financial and capital market Commission for financing" (annex 5);
6.6 credit unions ' overview of credit unions to payment calculation of financial and capital market Commission for financing "(annex 6);
6.7. the credit institutions ' review of the calculation of credit payment of financial and capital market Commission for financing "(annex 7).
7. foreign company branches that rule laid down in paragraph 6 of the report provide jāie according to their coverage.
8. payments for the financing of the Commission are made quarterly in lats.
9. the financial and capital market participants, t.sk. foreign merchant affiliates until the following month 30 quarter. date this provision laid down in paragraph 3 of the Commission payment in the account no Bank LV96 0000 0000 1185 1 Latvian LACB LACBLV2X, tax registration No. 90001049028.10. If this provision is 3.3-3.6 in the financial and capital market participant or branch of a foreign merchant or ceases his activity report in the middle of the quarter, the amount of payment shall be determined in proportion to the period of its operation.
Financial and capital market Commission, the President of the U.S. When the annex 1 financial and capital market Commission 21.12.2007 regulatory arrangements no 183 must submit financial and capital market Commission and the review quarter the following month 30. Insurer properties date ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___ overview of insurer payment calculation of financial and capital market Commission for financing – – – – – – – – – – – – – – – – – of – – – – – – – – – (in lats) position the position of the rate amount% amount due (A) 01 02 03 ground vehicle insurance against civil liability in respect of the operation of insurance in life insurance with savings 0118 building operations other insurance operations 0.12 0.306 total

X payment in foreign supervisory authority X X total and foreign supervisory authority X X the difference If the amount of the duty foreign supervisory authority exceeds the amount of the payments for the financing of the activities of the Commission during the period, the Commission and the financial and capital market participant does not have a reciprocal relationship.
Manager ___ ____ ____ ____ ____ ____/____ ____ ____ ____ _____ __ (signature) (name) performer ____ ____ ____ ____ ____ ____ ____ ____ _____ (name; phone number, email address) Annex 2 financial and capital market Commission 21.12.2007 regulatory arrangements no 183 must submit financial and capital market Commission and the review quarter following the date of the month 30. Pension Fund properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ overview of private pension fund payment calculation of financial and capital market Commission for financing – – – – – – – – – – – – – – – – – of – – – – – – – – – (in lats) line amount (A) the pension plan members ' 01 and a good amount of contributions made to the rate of duty 0.182% payment amount payment foreign supervisory authority payment amount and payment of foreign supervisory authority the difference ** If the amount of the duty foreign supervisory authority exceeds the amount of the payments for the financing of the activities of the Commission during the period, the Commission and the financial and capital market participant does not have a reciprocal relationship.
 
Manager ___ ____ ____ ____ ____ ____/____ ____ ____ ____ _____ __ (signature) (name) performer ____ ____ ____ ____ ____ ____ ____ ____ _____ (name; phone number, email address) Annex 3 financial and capital market Commission 21.12.2007 regulatory arrangements no 183 must submit financial and capital market Commission and the review quarter following the date of the month 30. Investment properties the company ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ overview of investment brokerage company payment calculation for financial and capital market Commission for financing – – – – – – – – – – – – – – – – – of – – – – – – – – – (in lats) line amount (A) 01 business gross revenue payment rate 0.9% of the payment amount foreign supervisory authority payment amount and payment of foreign supervisory authority the difference *


* If the amount of the duty foreign supervisory authority exceeds the amount of the payments for the financing of the activities of the Commission during the period, the Commission and the financial and capital market participant does not have a reciprocal relationship.
Manager ___ ____ ____ ____ ____ ____/____ ____ ____ ____ _____ __ (signature) (name) performer ____ ____ ____ ____ ____ ____ ____ ____ _____ (name; phone number, email address) Annex 4 financial and capital market Commission 21.12.2007 regulatory arrangements no 183 must submit financial and capital market Commission and the review quarter following the date of the month 30. Investment Management Company properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ review of investment management company payment calculation for financial and capital market Commission for financing of ____ _____ _____ of _____ and _____ _____ (in lats) line amount (A) 01 investment management firms the management of investment funds in the middle level of the active duty rate 0.01% of the payment amount foreign supervisory authority payment amount and payment of foreign supervisory authority the difference ** If the amount of the duty foreign supervisory authority exceeds the amount of the payments for the financing of the activities of the Commission during the period, the Commission and the financial and capital market participant does not have a reciprocal relationship.
Manager ___ ____ ____ ____ ____ ____/____ ____ ____ ____ _____ __ (signature) (name) performer ____ ____ ____ ____ ____ ____ ____ ____ _____ (name; phone number, email address) Annex 5 financial and capital market Commission 21.12.2007 regulatory arrangements no 183 must submit financial and capital market Commission and the review quarter the following month 30. date Organizer/regulated market of the Latvian Central Depository properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ overview of regulated market Organizer/Latvian Central Depository payment calculation of financial and capital market Commission for financing of ____ _____ ____ ____ of ____ ____ ____ ____ __ (in lats) line amount (A) 01 business gross revenue payment rate 1.25% fee Manager ___ ____ ____ ____ ____ ____/____ ____ ____ ____ _____ __ (signature) (name) performer ____ ____ ____ ____ ____ ____ ____ ____ _____ (name; phone number, email address) Annex 6 financial and capital market Commission 21.12.2007 regulatory arrangements no 183 must submit financial and capital market Commission and the review quarter the following month date 30 credit unions properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ overview of credit unions to payment calculation of financial and capital market Commission financing – – – – – – – – – – – – – – – – – of – – – – – – – – – (in lats) line amount (A) the average amount of assets 01 duty rate 0.028% of the payment amount, the Manager _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _/_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ (signature) (name) performer ____ ____ ____ ____ ____ ____ ____ ____ _____ (name; phone number, email address) Annex 7 financial and capital market Commission 21.12.2007 regulatory arrangements no 183 must submit financial and capital market Commission and the review quarter the following month 30. date credit properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ overview of credit payment calculation of financial and capital market Commission for financing of ____ _____ _____ of _____ and _____ _____ (in lats) line amount (A) the average amount of assets 01 duty rate % 0.00268 payment amount payment foreign supervisory authority payment amount and payment of foreign supervisory authority the difference ** If the amount of the duty foreign supervisory authority exceeds the amount of the payments for the financing of the activities of the Commission during the period, the Commission and the financial and capital market participant does not have a reciprocal relationship.
Manager ___ ____ ____ ____ ____ ____/____ ____ ____ ____ _____ __ (signature) (name) performer ____ ____ ____ ____ ____ ____ ____ ____ _____ (name; phone number, email address)