The Legislative Provisions On The Internal Information Holders List Submission Procedure And On Access To Internal Information Holders Lists

Original Language Title: Normatīvie noteikumi par iekšējās informācijas turētāju sarakstu iesniegšanas kārtību un par piekļuvi iekšējās informācijas turētāju sarakstiem

Read the untranslated law here: https://www.vestnesis.lv/ta/id/166133

Financial and capital market Commission Regulation No. 155 in 2007 (9 November. Nr. 46, 3. p.)
The legislative provisions on the internal information holders list submission procedure and on access to internal information holders lists Issued pursuant to the financial instruments market law in article 86 the fifteenth part i. General questions 1. determines the order in which the financial and capital market Commission (hereinafter the Commission) to be submitted to the internal list of holders of information, and access to internal information holders lists.
2. The rules are binding on the issuer, the financial instruments market law 86. in the first subparagraph in respect of insider list of holders, and investment firms and credit institutions for access to internal information holders of the issuer list.
3. under the terms of The investment brokerage firms and credit institutions are: 3.1. Republic of Latvia registered investment firms and credit institutions which are authorised to provide investment services;
3.2. in the Republic of Latvia registered foreign investment brokerage firm affiliates and branches of foreign credit institutions which are authorised to provide investment services in the Republic of Latvia;
3.3. other Member States of the European Union or the European economic area countries registered investment firms and credit institutions that are authorised to provide investment services in Latvia.
II. Internal information holders list submission of 4 internal information holders list the Commission happens to the official required information centralised storage system (storage system official) (internet address: URwww.oricgs.lv).
5. Internal information holders lists can be entered in official storage system not available to the public under the "internal information holders list".
6. detailed arrangements for the system of storage that can be entered into the official issuer of insider lists and holder of the amendments to be made to determine the official storage system's internal list of holders of information submission instructions that issuers and investment service providers available in official public storage system under the "internal information holders list".
7. the issuer's internal information holders list specifies the financial instruments market law in article 86 the information referred to in the third subparagraph.
8. If the issuer from its independent reasons encountered technical problems that can prevent internal information holders list entry or amendment thereto in the official storage system, the issuer shall forthwith inform the Commission thereof.
9. The right to enter the list of internal information holders and make amendments in the official storage system is a Commission official in the issuer's register storage system users.
10. the official storage system registered users may become the only issuer of the specified natural persons in accordance with Commission Regulation No 55 26.04.2007. "rules on the procedures for submitting information for the official required information centralised storage system".
11. The Commission is empowered to block or revoke a user's access to the official storage system in accordance with Commission Regulation No 55 26.04.2007. "rules on the procedures for submitting information for the official required information centralised storage system".
III. Access to internal information holders lists 12. access to internal information holders of the issuer lists are investment firms and credit institutions. Access to internal information holders of the issuer lists provided by the Commission in accordance with the financial instruments market law thirteenth part of article 86.
13. The investment brokerage firm or a credit institution for access to internal information lists the official holder of the storage system, it shall present to the Commission a signed this provision the attached submission.
14. the Commission's investment firm or credit institution designates the access rights of the issuer's internal information holders lists the official storage system awarded by this provision in paragraph 13 of the application referred to in the receipt.
15. the Commission revoke the investment firm or credit institution official storage system users assigned access rights issuer Insider lists the official holder of the storage system after the receipt of the application or, if the investment firm is cancelled the license for the provision of investment services or credit institution loses the right to provide investment services.
16. Investment firms and credit institutions to develop internal procedures that ensure that its internal information holders lists with the information that they contain is used only on the financial instruments market law 89. Article requirements.
17. The issuer (this would mean the official storage system users) in the storage system is not publicly available in the section "internal information holders list" is the only access for your internal information holders list.
IV. Responsibility for the accuracy of information 18. The issuer is solely responsible for the official storage system inside the information entered in the list of holders.
19. The Commission does not have the right to make corrections and amendments to the official issuer of the storage system in the internal information holders entered in the list.
Financial and capital market Commission President u. When annex financial and capital market Commission 09.11.2007. Regulation No. 155