"holders Of Securities In The Reference Month" Rules Of Preparation

Original Language Title: "Vērtspapīru īpašnieku mēneša pārskata" sagatavošanas noteikumi

Read the untranslated law here: https://www.vestnesis.lv/ta/id/160603

The Bank of Latvia Regulation No 6 in Riga, July 12, 2007. "securities owners ' monthly report preparation rules Issued in accordance with the law" on banking "article 39 i. General questions 1." securities owner monthly review "(hereinafter the report) designed to get the country's balance of payments and international investment position statistics, financial accounts statistics, statistical issue of securities and other financial intermediaries for the preparation and publication of statistics according to international standards and of the European Central bank (hereinafter referred to as the ECB) regulations required information.
2. The rules are binding on: 2.1. credit institutions which are included in the "Republic of Latvia list of monetary financial institutions, excluding electronic money institutions;
2.2. investment brokerage firms that are registered in the enterprise register of the Republic of Latvia in the commercial register, received the financial and capital market Commission license for the provision of investment services and have the right to take possession of the financial instruments.
II. Terminology 3. Issuer – a person who issues securities in its own name.
4. Emissions-or the issuer authorized released a collection of securities, which all have the same security rights.
5. Residents-all institutions, t.sk. foreign registered and operating in the Republic of Latvia, and individuals whose household is located in Latvia and not just go outside of Latvia for more than 1 year (exception – students). For residents of Latvia also considered diplomatic, consular and other representative offices abroad.
6. Non-residents – all institutions that are registered in foreign countries and individuals, which the household is located outside Latvia or who come in Latvia for a period less than 1 year (exception – students). For non-residents shall be deemed to include foreign diplomatic, consular, international institutions and other agencies in Latvia.
7. Non-financial corporations, business entities carrying out goods or non-financial services in order to make a profit or other fruits. In Latvia for non-financial corporations sole proprietors are also considered if they registered their activity in the Republic of Latvia enterprise register in the commercial register.
8. The monetary financial institutions (hereinafter MF) – credit and financial firms that receive deposits from non-MFIs or close substitutes for deposits, at their own cost grant credits and investing in securities, as well as the national central banks. The Bank of Latvia to establish and regularly update "of the Republic of Latvia to the list of monetary financial institutions ' (see. Latvijas Banka's internet page (www.bank.lv) menu "legislation"). On its internet site the ECB regularly publishes the European Union (hereinafter EU) countries (see the list of MFIs. Latvijas Banka's internet page (www.bank.lv) the "links" menu). The central bank, credit institutions and financial corporations, which are outside the EU, in the context of these regulations, be deemed, if the performance of the MFIs meet such conditions.
9. the authorities of the central bank, whose main business is the national currency of the national currency, the internal and external value of the currency and the country's foreign reserves or portions of them. The central bank of the Republic of Latvia is the Latvian Bank.
10. credit institutions – corporations, founded to make deposits and other repayable funds from the unrestricted deployment of clients and in the name of the issuing of loans and other financial services, or an electronic money institution, which issues means of payment in the form of electronic money. Latvian credit institutions included in the "Republic of Latvia list of monetary financial institutions ' (see. Latvijas Banka's internet page (www.bank.lv) menu "legislation" section of the "reports"). On its internet site the ECB regularly publishes the list of MFIs in EU countries (see. Latvijas Banka's internet page (www.bank.lv) menu "links"), which reported in each EU country credit institutions.
11. investment funds – consisting of togetherness against investment certificates, as well as investments made in transactions with the investment fund assets and on the basis of acquired rights.
12. Money market funds (hereinafter – NTFS) – open investment funds, which the licence in terms of liquidity is a close substitute for deposits (i.e., under normal market conditions, they may buy back, delete or transported) and which features mostly (i.e. at least 85% of the investment portfolio) invested in money market instruments, certificates or NTFS shares or other transferable debt instruments with a residual maturity up to 1 year (inclusive), or bank deposits. MMFS included in the Republic of Latvia, "Latvia's list of monetary financial institutions ' (see. Latvijas Banka's internet page (www.bank.lv) menu "legislation" section of the "reports"). On its internet site the ECB regularly publishes the list of MFIs in EU countries (see. Latvijas Banka's internet page (www.bank.lv) menu "links"), which is listed for each EU country (if any) for NTFS.
13. other financial intermediaries, except insurance corporations and pension funds (hereinafter the CF), – the financial institutions involved in financial intermediation primarily by making the non-cash, non-MFI deposits and deposit substitutes close or insurance technical reserves. CFS is lending the companies involved (for example, financial leasing companies, factoring companies, export or import financing companies), investment funds, investment companies, financial vehicle Corporation (financial vehicle corporation), a financial holding company, venture capital companies (venture capital corporations), as well as other financial institutions if they meet these conditions.
14. investment brokerage company, a corporation that provides regular and professional investment services.
15. financial palīgsabiedrīb – financial institutions engaged mainly in financial activities, i.e. activities closely related to financial intermediation but not financial intermediation, such as brokerage, investment in the non-financial intermediation services in its own name, the company which provides financial market infrastructure institutions that supervise MFIs, financial institutions and financial markets. Financial and capital market Commission, the Riga Stock Exchange, central depository of Latvia, as well as investment management companies are considered financial palīgsabiedrīb.
16. Insurance corporations and pension funds-financial institutions that provide financial intermediation services, combining different types of risks. Insurance companies taken over by the policyholder or the insured risk or possible loss on the transfer of any financial risk of loss reinsurers. Insurance companies providing life or non-life insurance services. Private pension funds take social risk insurance fund participants, accumulating and investing members ' own and their right of voluntary contributions of funds, to ensure that these actors age or disability retirement benefits. This sector include insurers, reinsurers, private pension funds and the State funded pension scheme.
17. the Central Government — State institutions of non-market goods or services intended for individual and collective consumption, or to a public body involved in national income and national wealth redistribution, if these institutions (ministries, t.sk., the representative of the Embassy, agency, Board, educational, health, judicial, cultural and other public authorities) competence covers the entire national economic territory. The Central Government includes State non-profit institutions that Central Government controlled and financed.
18. The Government, excluding the Central Government (hereinafter-VICV) – national institutions of non-market goods or services intended for individual and collective consumption, or to a public body involved in national income and national wealth redistribution, if the jurisdiction does not apply to the entire country's economic territory. Also included here are institutions that control and finance VICV. This sector includes social security funds, in which some groups of the population are obliged to participate in or make a deposit, and the Government is responsible for the management of the institution for the settlement or approval of the contributions and benefits independently from its role as a control body or employer.
19. Households-individuals or groups of individuals as consumers, and only the final consumption of goods for manufacturers and financial services providers. In Latvia the household counts also the individual Installer, if they have not registered their activity in the Republic of Latvia enterprise register in the commercial register.

20. non-profit institutions serving households, institutions that provide goods and services to persons or to groups of individuals and resources derive primarily from voluntary contributions in cash or in kind, such as trade unions, professional or educational associations, consumers ' associations, political parties, churches, religious communities, as well as cultural, recreational and sports clubs, charities, relief and aid organisations.
21. Securities-Law documents certifying documents of the issuer's obligations to the owner, not a change in the rights attaching to the scope or certifying the holder's participation.
22. Debt securities-securities proving the issuer (borrower's) commitment to the security of the owners (lenders) and its commitment to make one or more payments to the holder of the securities a specified date or dates (such as bonds, notes, money market instruments). These securities are generally fixed coupon rate or they are sold at a discount to the amount that will be repaid on the maturity date set by. Debt securities, which at the time of issue specified maturity up to 1 year (inclusive), are to be classified as short-term debt securities. Debt securities, which at the time of issue specified maturity up to 1 year, are to be classified as long-term debt securities.
23. capital securities-shares and similar securities, which provide the Corporation's capital participation. Investment certificates of investment funds and MMFS investment certificates be considered equity securities.
24. Quoted shares-shares that are included in the regulated markets.
25. non-quoted shares-shares that are not included in the regulated markets.
26. investment securities certificate-attesting to the investor's participation in the investment fund and from the ensuing rights of participation.
27. Other capital securities – equity securities other than shares, investment funds and money market fund investment certificates. 
28. Reverse repo – contract for the purchase of securities at a specific price on condition of atpārd the same or similar securities at a fixed price at the end of the transaction.
III. REVIEW of the procedure for the preparation and SUBMISSION of 29. Reporting of the monthly report shall be prepared in accordance with form 0620566 UPDK (annex 1).
30. The reporting shall prepare a report in two copies, one of which is stored at the reporting, and the other shall be submitted to the Bank of Latvia until the fifth business day of the following month in electronic format: 30.1. credit institutions, according to the Bank of Latvia "statistical Credit reporting in electronic form", "submit electronic statistical reporting of credit rules" and "credit institutions electronically prepare shipping rules";
30.2. the investment brokerage companies, according to "electronically submit non-bank statistical document preparation and submission rules".
31. the report includes information only about those debt and equity securities, which the national numbering Agency Association (Association of National Numbering agencies; hereinafter Anna) member or the Governor assigned by the international securities identification number (International Securities Identification Number ISIN code; hereinafter) in accordance with the international standard ISO 6166 "ISIN code".
32. If any of the previous surveys had an error, the report on the review month submit again to include all of the information.
IV. Balance of securities Statement 33. in part 1 of "securities transactions" shows information about all report preparers of financial instruments accounts existing securities in reviewed on the last date of the month.
33.1. The report preparer account as the owner of the show itself, if the holding of securities carried out on your behalf. If the report preparer securities customers there, as the owner of the relevant review presented to the originating client.
33.2. If the report is open in a nominal establishment of financial instruments account, and it is not possible to indicate the person who owned the securities, as a show of such persons nominal financial instruments account holder.
33.3. If the report preparer acquired the securities in a reverse repurchase transaction, as the owner of the counterparty.
33.4. If the report preparer there worth the paperwork on your behalf, securities accounting value is the value at which securities shown in the balance sheet.
33.5. If the report preparer there worth paper customers, the book value of securities is determined according to the weighted average price of the securities on a regulated market to report on the last date of the month. If the report is not the last date of the month occurred on the trading of the relevant securities on the regulated market, securities are valued at their weighted average price on the regulated market of the last trading day in the last three months before the last reporting date. If the regulated market concerned is not calculated weighted average price or the report preparer is not available, the securities are valued at the last transaction price or without knowing the last transaction price, at their acquisition price or use another specific financial instrument for assessing the appropriate method that separate writing explains.
34. the code presented in the concerned ISIN securities 12 character code, in accordance with the international standard ISO 6166 "ISIN code" assigned by the Member or trustee Anna.
35. The issuer's country code is shown the country code where the issuer of a registered, in accordance with the international standard ISO 3166 "countries and their territorial breakdown unit name code" (see. Latvijas Banka's internet page (www.bank.lv) the "links" menu).
36. Issue date (yyyy. URdd.mm.)
Displays the date on which the securities issued. If emissions topped, displays the original date.
37. the owner of the country code presented its country code, which is the owner of the securities to the resident, in accordance with the standard ISO between folksy 3166 "countries and their territorial breakdown unit name code" (see. Latvijas Banka's internet page (www.bank.lv) the "links" menu).
38. The owner of the sector code exhibiting the securities sector code of the owner in accordance with table 1. Investment, money market and pension fund portfolio securities within the membership of the owner of the sector determined by the Fund.
table 1. Owner and issuer sector and issuer of codes owner name code sector non-financial corporations s.11 s.121 central bank credit s. 1221 s. 1222 NTFS MFIs other than central banks, credit institutions and MMFS s. 1223 investment funds, except MMFS s. 1231 ofis, except investment funds S. 1232 s. 124 of the financial palīgsabiedrīb insurance corporations and pension funds s.125 Central Government s.1311 VICV s. 1330 households s. 14 non-profit institutions serving households s. 15 of 39. Identification Code Present owner or nominal account holders of financial instruments – the resident-identification code : 24.3. credit institutions, according to the credit institutions MFIs;
24.4. the investment brokerage firm, according to the investment brokerage company the single registration number;
39.3. investment and money market funds, according to the Fund units issued ISIN code.
40. additional 24.9. reverse repo securities obtained indicate a code "RR";
40.2. the nominal accounts financial instruments existing securities indicate the code "N";
40.3. reverse repo transactions and resulting nominal financial instruments accounts existing securities indicate the code "RRNA".
41. Book value (in dollars) displays one of the carrying amount of the securities in local currency with two decimal places. If the book value is a foreign currency, the conversion of dollars made by the Bank of Latvia exchange rate in the last review date. This box displays the totals row in the "checksum".
42. the number of individual owners of the securities Presented a number of securities in the account. This box displays the totals row in the "checksum".
V. characteristics of securities by non-residents 43. review in part 2 of "non-resident securities characteristics" displays the characteristics of the securities to which the review of part 1 of the column "the issuer's country code is" code is not shown "en".
44. the code presented in the concerned ISIN securities 12 character code, in accordance with the international standard ISO 6166 "ISIN code" assigned by the Member or trustee Anna.
45. the issuer name the issuer of the securities is presented full name.
46. The issuer's sector code exhibiting the issuer's securities sector code according to the table 1. Investment, money market and pension fund portfolio securities within the membership of the owner of the sector determined by the Fund.
47. Instrument code shows the security code according to the table 2.
table 2. Securities codes by type the type of the securities code, short-term debt securities f.331 long-term debt securities f.332 quoted shares f.511 quoted shares Not f. 512 other capital securities investment fund f.513, except MMFs investment certificates F. 521 units F NTFS. 522

 48. The nominal value of the par value of a security is presented.
49. The currency code displays the currency code in which the issue of securities, in accordance with the international standard ISO 4217, "codes for currencies and resources" (see. Latvijas Banka's internet page (www.bank.lv) the "links" menu).
50. The maturity date (yyyy. URdd.mm.)
Displays the maturity of debt securities.
51. Coupon rate (%)
Debt securities presented the coupon rate is the percentage of the reported month last date.
Closing questions 52. provisions shall enter into force on January 1, 2008.
53. the report on December 2007 submission of statistics by the Bank of Latvia administration until January 8, 2008.
Informative reference to European Union laws and regulations include legal provisions arising from: 1) no ECB Guideline ECB/2004/15 "on the requirements of the European Central bank on statistical reporting of balance of payments and international investment position statistics, and the international reserves template";
No 2) ECB Guideline ECB/2002/7 "on the statistical reporting requirements of the European Central bank in the field of quarterly financial accounts" with the amendments contained in ECB Guideline ECB/2005/13 No. Latvian Bank President i. Rimšēvič in annex 1 the Bank of Latvia on July 12, 2007, regulations No 6, the President of the Bank of Latvia is Rimšēvič.