Financial and capital market Commission regulations Regulation No 104 in Riga on 1 July 2015 (financial and capital market Commission Council meeting Protocol No 24 p. 3) Information on remuneration, and guaranteed delivery rules, regulations Issued under the law on deposit guarantees 17. the second paragraph of article i. General questions 1. "information on remuneration, and guaranteed delivery regulations" (hereinafter-the rules) determine the amount and the order in which the deposit-takers will collect and provide the financial and capital market Commission (hereinafter the Commission) for information on the guaranteed compensation. 2. The rules are binding on deposit-takers to apply the law on deposit guarantees. 3. the terms used in the regulations comply with the law on deposit guarantees the use of the term. II. Information on the amount of remuneration guaranteed 4. Deposit takers for each depositor, which guaranteed to be paid to the consideration of technical identifier that is unique in the symbol string. One depositor, which guaranteed to be paid to the remuneration may not be granted more than one identifier. 5. Deposit-takers will collect the following information for depositors to be guaranteed consideration and who is a natural person: 5.1. first and last name; 5.2. the code, if the natural person is resident or non-resident, you have the following code; 5.3. the date of birth, if the natural person is non-resident; 5.4. identity document number; 5.5. permanent residence address; 5.6. the permanent residence address country code according to the standard LVS EN ISO 3166-1:2007 6. Deposit takers will collect the following information for depositors to be guaranteed consideration and which is a legal person: 6.1. name; 6.2. legal address; 6.3. unified registration number, if the legal person is resident; 6.4. registration number, if the legal person is non-resident; 6.5. legal address country code according to the standard LVS EN ISO 3166-1:2007.7. Deposit takers under the deposit guarantee law calculates and collects information about: 7.1 each depositor, which guaranteed remuneration to be paid to the appropriate deposit; 7.2. each depositor, which guaranteed to be paid to the consideration payable in the amount of remuneration guaranteed. 8. the Provisions of paragraph 7 of the information specified in points in euro in accordance with the accounting used in foreign currency deposit accession to the non-availability of the day or on the date specified in the request of the Commission, if the Commission has sent a request for information on the guaranteed reward. 9. Deposit-takers to ensure that its accounting records or information systems at the end of the day is available in topical and at least five working days in the historical rule 5-7. the information identified in paragraph 1. 10. The deposit takers of rules 5, 6 and 7 above information about depositors, which guaranteed that compiled a list of the appropriate rules, 1. the requirements set out in the annex. Deposit-takers will collect information electronically in Extensible Markup Language (XML) file format in accordance with the rules set out in annex 2 and the Commission prepared an XSD (XML Schema Definition) schema that the Commission sends the deposit takers. Preparing XML files, deposit-takers will also prepare the end of the file (hash) using the SHA256 algorithm. Deposit-takers will ensure that the operation is automatically saved deposit takers, information system, for which activities are performed and audit trail data integrity is protected. 11. Deposit-takers for process control purposes shall also be a separate file with the rules 5, 6 and 7 above, the information, including information on all depositors, including those savers who are not eligible for guaranteed consideration and for savers, who have at least one closed the account and deposit balance is less than or equal to 0.00. in addition to the file includes information in the form of a depositor of a classifier is not reason for inclusion in the list of their depositors , which guaranteed rewards and deposit takers will collect information in accordance with the provisions of paragraph 10. Deposit-takers will create a free-form classification according to the purpose of the provisions, and consists of no more than five symbols. Classifier value explanation of deposit-takers, shall be submitted to the Commission after the first free-form request. 12. the information specified in paragraph 11 shall be prepared according to the annex 3 requirements electronically Extensible Markup Language (XML) file format in accordance with the provisions in annex 4 and the Commission prepared an XSD (XML Schema Definition) schema that the Commission sends the deposit takers. Preparing XML files, deposit-takers will also prepare the end of the file (hash) using the SHA256 algorithm. Deposit-takers will ensure that the operation is automatically saved deposit takers, information system, for which activities are performed and audit trail data integrity is protected. 13. Rules 10, 11 and 12 in the form specified in paragraph 1 and the information collected in the amount of the deposit takers not later than the day after the accession to the non-availability of the deposit shall be submitted to the Commission in electronic form. 14. If the deposit takers finds that information about guaranteed that the Commission submitted to the non-availability of the deposit in the event of accession, the need to make a clarification, deposit-takers to immediately inform the Commission thereof and shall submit the information specified in accordance with paragraph 10 of the requirements, including data only for those savers, which information is specified or added. If necessary to adjust the provisions of paragraphs 11 and 12, the information specified in the deposit-takers to immediately notify the Commission thereof and shall submit the information specified in accordance with the provisions of paragraphs 11 and 12. 15. If the Commission finds that the information provided on the deposit takers for guaranteed consideration does not match the current situation of the non-availability of the deposit accession or the request of the Commission at the end of the day, the Commission shall inform the deposit takers and would one day provide the Commission with the information specified in accordance with the provisions of paragraph 10. 16. the Commission, in monitoring the implementation of rules, can be performed on-site (on-site) inspections and remote (off-site) and may require a deposit-takers to rules 10, 11 and 12 in the form specified in paragraph 1 and the information collected in the amount of the guaranteed compensation to submit one day electronically on the State of the request at the end of the day. 17. Deposit-takers integrity risk reduction purposes made in paragraph 11 of the information set out in point 12 format and agenda on the State of the previous working day. Information shall be prepared for each working day and shall be preserved for at least five days in a place with reduced risk to integrity and confidentiality. 18. the deposit takers, which guaranteed the number of beneficiaries is less than four hundred, not to apply the provisions of paragraph 9-15. Such a deposit-takers in 5, 6 and 7 above, the information collected in an electronic form on their technological options in the appropriate format. If the guaranteed compensation costs over the need to make changes to the information provided, then they shall draw up and submit to the Commission, including data on only those depositors, which information is specified or added. III. Closing questions 19. Be declared unenforceable laws, regulations of the Commission 31.01.2013. Regulations No. 9 "for guaranteed consideration of information collection and delivery of legislative provisions". 20. Rule 17 shall enter into force on the 01.09.2015. Financial and capital market Commission President k. Zakuli States annex 1 financial and capital market Commission 01.07.2015. normative regulation No. 104 "for guaranteed consideration of information collection and the legislative provisions to provide" information on the guaranteed compensation collection and reporting requirements
Field name field data format (*) field value field values category Element name element of the mother/i 1. unique identification of Depositors Max40 (x) the internal identifier of the authority identifier 2AA. Depositors (natural persons) a word or words (x) Min1 Max200 name/i. separator between words – a space or hyphen (-) in text 2b. Depositors (natural person) the last name or last name in the last name Min0 Max200 (x)/i. separator between words – a space or hyphen (-) text, 2 c. Depositors (natural persons resident or non-resident) identification document number Max200 (x) identification number code 2d. Depositors (natural persons resident or non-resident, you have the following code) identification (people) code Max200 (x) a personal identification code code 2e. Depositors (natural person-non-resident) date of birth YYYY-MM-DD in the International Standard ISO 8601 date format: YYYY-MM-DD date 3a. Depositor (legal person) name Max200 (x) separator between words-space text 3b. Depositor (legal person) registration number Max200 (x) legal entity registration number public register code 4. Depositors the permanent place of residence or registered office in the country code 2 (a) in accordance with the standard LVS EN ISO 3166-1:2007 code or 5. Depositors the permanent place of residence or registered office in the city or municipality Max200 (x) city/county name or 6. permanent place of residence of the Depositor or of a legal person the rest of the address part of the Max200 (x) the rest of the address-street House, apartment, or other text in the index or in the deposit amount Accordance 7, euro Max12 (d) according to the deposit amount, the figure of eur 8. Guaranteed compensation, euro Max7 (d) the amount of remuneration guaranteed euro Figure 9. pursuant to the deposit amount, the euro, on the situation in the five working days before the date on which the report is relevant (d) Max12 deposit amount, the euro, on the situation in the five working days before the date on which the report's number a = letter; x = letter, digit or symbol; d = decimal; n = numeric. Annex 2 financial and capital market Commission 01.07.2015. normative regulation No. 104 "for guaranteed consideration of information collection and the legislative provisions to provide" the XML file sample AT1234567 290281 IBB_345678 Robert Buchanan Buchanan-11753 LV Riga tadaiķi 55-66, EN-1111 5000.00 6000.10 USA-ABCLRC SIA 5000.00 XMI-UK5212584222 LV Riga-Bauska 300 10 100000.00 300000.00 255000.00 annex 3 financial and capital market Commission 01.07.2015. normative regulation No 104 "information on the guaranteed reward collection u n legislative provisions to provide "information on the guarantee remuneration and disclosure requirements for the field name of the field data format (*) field value field values category Element name element of the mother/i 1. unique identification of Depositors Max40 (x) the internal identifier of the authority identifier 2AA. Depositors (natural persons) a word or words (x) Min1 Max200 name/i. separator between words – a space or hyphen (-) in text 2b. Depositors (natural person) the last name or last name in the last name Min0 Max200 (x)/i. separator between words – a space or hyphen (-) text, 2 c. Depositors (natural persons resident or non-resident) identification document number Max200 (x) identification number code 2d. Depositors (natural persons resident or non-resident, you have the following code) identification (people) code Max200 (x) a personal identification code code 2e. Depositors (natural person-non-resident) date of birth YYYY-MM-DD in the International Standard ISO 8601 date format: YYYY-MM-DD date 3a. Depositor (legal person) name Max200 (x) separator between words-space text 3b. Depositor (legal person) registration number Max200 (x) legal entity registration number public register code 4. Depositors the permanent place of residence or registered office in the country code 2 (a) in accordance with the standard LVS EN ISO 3166-1:2007 code or 5. Depositors the permanent place of residence or registered office in the city or municipality Max200 (x) city/county name or 6. permanent place of residence of the Depositor or of a legal person the rest of the address part of the Max200 (x) the rest of the address-street House, apartment, or other text in the index or in the deposit amount Accordance 7, euro Max12 (d) according to the deposit amount, the figure of eur 8. Guaranteed compensation, euro Max7 (d) the amount of remuneration guaranteed euro Figure 9. pursuant to the deposit amount, the euro, on the situation in the five working days before the date on which the report is relevant (d) Max12 deposit amount, the euro, on the situation in the five working days before the date on which the report number 10. exclude guaranteed depositors list reason Max5 (x) classification that indicates why the depositor is not included in the list of guaranteed depositors text * a = letter; x = letter, digit or symbol; d = decimal; n = numeric. 4. the annex to the financial and capital market Commission 01.07.2015. normative regulation No. 104 "for guaranteed consideration of information collection and the legislative provisions to provide" a sample XML file
IBB_345678 Roberts Kalniņš-Kļaviņš AT1234567 290281-11753 LV Rīga Tadaiķu 55-66, LV-1111 5000.00 5000.00 6000.10 AB123 US-ABCLRC SIA XMIA UK5212584222 LV Rīga Bauskas 300-10 255000.00 100000.00 300000.00 AB123
