The Legislative Provisions On The Financial Instruments Market Law, Chapter Xii "the Provision Of Investment Services ' Requirements For The List Of Documents Stored

Original Language Title: Normatīvie noteikumi par Finanšu instrumentu tirgus likuma XII nodaļas "Ieguldījumu pakalpojumu sniegšana" prasību nodrošināšanai uzglabājamo dokumentu sarakstu

Read the untranslated law here: https://www.vestnesis.lv/ta/id/166132

Financial and capital market Commission Regulation No 154 in 2007 (9 November. Nr. 46, 5. p.)
The legislative provisions on the financial instruments market law, chapter XII of the "investment services" requirement for storage of documents Issued pursuant to the financial instruments market law 124 of the first paragraph of article 10 and paragraph 7 of the second paragraph of point 1. determine the list of documents that the authority has a duty to prepare and store, providing investment services and investment requirement (annex).
2. The rules are binding on the Republic of Latvia registered investment companies and banks providing investment services and investment, and additional services in the Republic of Latvia registered investment management firms, making investors financial instruments management in accordance with the individual investor empowerment and giving advice on investments in financial instruments (hereinafter referred to as the authority).
3. Document the meaning of these provisions is a fixation with the article information and other means of electronic or paper medium, which allows the information store unchanged, including the registry.
4. the authority referred to in the annex to these provisions document stored by it to: 4.1 financial and capital market Commission may consult the data content, and the ability to reconstruct each of the relevant stage of processing all transactions;
4.2. it is not possible to manipulate the data or change it.
4.3. it is possible to find out all the corrections or additions, as well as the data content before corrections or additions.
Financial and capital market Commission President u. When annex financial and capital market Commission 09.11.2007. Regulation No. 154 on the financial instruments market law, chapter XII of the "investment services" requirement for storage of the documents list no PO box
Document type the document content is Indicative the indicative time that document shall be drawn up by the Authority 1.
Customer identification data and information on the status of the customer identification data of the client and client status supporting information (private client, professional, eligible counterparty), financial instruments market law (FITL) 124.1 and 124.2 article the date when the customer is established and the relationship of the authority, or the date when the customer status is amended 2.
The contract with the customer information to be included in the contract in accordance with article 126 FITL before new customer start to provide the investment services 3.
Information about the customer's experience and knowledge regarding the investment objectives and financial position (in accordance with the first paragraph of article 126.2 FITL-1) information about the customer's experience and knowledge relating to the provision of investment services to the transactions concluded in the course of, the objectives it wants to achieve with the relevant transactions and financial position of giving advice on investments in financial instruments or through the customer's financial instruments portfolio management 4.
Information about the customer's experience and expertise (in accordance with the first paragraph of article 126.2 FITL 2) information about the customer's experience and knowledge relating to the provision of investment services to the transactions concluded in the course of providing investment services other than those referred to in paragraph 3 of this annex 5.
Business justification document in the document's content is determined by the financial and capital market Commission (FCMC) 19.03.2004. Regulation No. 54 "provisions for financial instruments business justification document filing and storage" document completed in accordance with the FCMC 19.03.2004. Regulation No. 54 "provisions for financial instruments business justification document filing and storage 6.
Two or more customer order consolidation or one or more of the client order with a deal to bill each customer identification data; indication of whether the transaction is carried out wholly or partly in the customer's financial instruments portfolio management; the deal provided for the principle of separation and for income distribution gained in the relationship between customers and the authority running the business that combines customer orders or customer order and authority on the same transaction, and before the transaction is completed (when the principle of the order are considered), if the principle of a merger are not clearly stipulated in the internal policy 7.
United split the transaction if the transaction involves a customer in the United order transaction, the date and time of Division; financial instrument that is the subject of the transaction executed identification data; each customer's identity and the amount that each customer acquired transaction splitting transaction date of Division 8.
Distributed transactions in the transaction of the realignment Divided the principle of redistribution and the reasons Deal partitioned the date 9.
Received an order or a decision on the conclusion of the transaction, the customer's financial instruments portfolio management within the framework of Regulation No 1287/2006 information laid down in article 7, immediately after the receipt of the order or decision 10.
An order executed on behalf of Regulation No 1287/2006 article 8 paragraph 1 of the order of the information specified in point 11 of the execution.
The deal, which met at the expense of the authority of Regulation No 1287/2006 article 8 1 the information specified in paragraph immediately after the transaction 12.
Authorities received orders release of Regulation No 1287/2006 and article 8 paragraph 2 of the information identified in immediately after sending the order and immediately after confirmation of the order receipt.
Periodical reporting, which the authority shall provide the customer with information about the contents of the report date on which the report is prepared or provided 14.
The customer's financial instruments that hold authority, identification of accounting for financial instruments, which provide the sixth article 129.1 FITL part requirements specified in the date when you start holding the customer's financial instruments 15.
The customer's financial instruments, which the authority is entitled to use or use the securities financing transactions, identification of financial instruments, which the authority is entitled to use or has used the securities financing transactions, identification data and the client's statement that he has agreed to such a financial instrument he holds for the use of the date when the customer has consented to his use of derivatives securities financing transactions, and the date when the instrument is used in transactions of this type 16.
Information about the client's funds with sufficient information to justify the transfer of the authority and obligations under Regulation No 1287/2006 and article 8 obligation to provide customer and cash holding When the money part is received and paid out 17.
Communication to the public of the written marketing marketing communication, which has addressed the retail client or potential retail client to the date when the Authority's marketing message has released the first 18.
A written contribution to the study of any written contribution to the study, drawn up in accordance with article 127.2 FITL date authority investment research has released the first 19.
Organisational structure of the authority the Authority's organizational structure documentation according to the FCMC. Regulation No. 63 02.05.2007 "internal control system" When the Authority's organisational structure is created, updated or amended by 20.
Compliance with the institution's risk management policies and procedures in compliance with the institution's risk management policy and procedures developed under the FCMC. Regulation No. 63 02.05.2007 "internal control system" the date when policies and procedures are approved, supplemented or amended by 21.
Information on investment services and investment in additional types that cause or may cause conflicts of interest information that needs to be stored in accordance with article 127 FITL eighth date when the conflict of interest has been identified or when an identified conflict of interest risk 22.
Reports on compliance with the Statement of the institution provided the management according to the FCMC regulations No 63 02.05.2007. "internal control system" revised shipping date is 23.
Reports on the risk control of accounts provided by authorities to control according to the FCMC regulations No 63 02.05.2007. "internal control system" revised shipping date 24.
Internal audit reports are provided to control the message according to the FCMC. Regulation No. 63 02.05.2007 "internal control system" message sent date 25.
The registry, which lists the customer complaints in accordance with article 128 of the thirteenth FITL part Customer identification data; short presentation of the contents of the complaint, the date when the complaint is received 26.
Information about complaint examination process activities that are performed to examine and address the issues in the complaint, the date when the relevant activities are carried out 27.
Authorities considered systematic internaliser, certain quotes

Information about the prices quoted, which is kept under Regulation No. 1287/2006 article 24, paragraph 1 (b) as soon as the prices are quoted on 28.
Personal transaction log Information you want to store under the seventh paragraph of article 127.1 FITL date when you received the notice on personal business, or the date when the authority has identified 29 of such business.
Information that must be provided to the customer in accordance with article 128 of the twelfth FITL part 2 "a" section, information about a payment or benefit in connection with the provision of investment services institution receives from a third party or authority to pay or deliver to a third party, the nature and amount or the amount for the calculation of the order summary form the date when information is discovered 30.
Information about the advice given to the customer for Approval of investments in financial instruments that provide investment advice, and information on financial instruments, which are recommended for giving advice on investments in financial instruments