The Amendments To Regulation No 7 Lcd "concerning The Financial Instrument For The Identification Of The Owner"

Original Language Title: Grozījumi LCD noteikumos Nr.7 "Par finanšu instrumentu īpašnieku noskaidrošanu"

Read the untranslated law here: https://www.vestnesis.lv/ta/id/109975

Latvian Central Depositary agreed financial and capital market Commission of the Council of 3 June 2005, the approved JSC "Latvian Central Depositary" Council meeting on 25 May 2005, the amended Regulation No 7 "LCD On the financial instrument for the identification of the owner" to amend Regulation No 7 "LCD On the financial instrument for the identification of the owner" (approved by the Council in 2004 LCD 23 January meeting) the following amendments: 1. Express 3.6 the following : "UR3.6.LCD member news for holders of financial instruments and persons who, in the holdings of financial instruments: 3.6.1. personal data identificējošo: 3.6.1.1. a natural person: name and surname, personal identification number, or other personally identifiable data and country of residence;
3.6.1.2. legal person — company name, registration number and date, or other identification data and country of residence. If the person is a nominal account holder, behind the name must specify "nominal holder";
3.6.2. financial instrument ISIN code;
3.6.3. each person owned financial instruments. "
2. Express 4.12 as follows: "the Member shall send the LCD UR4.12.LCD this provision prescribed in paragraph 4.6.5. date for block owners of financial instruments, including: 4. personal data: identificējošo 4.12.1.1. a natural person: name and surname, personal identification number, or other personally identifiable data and country of residence;
4.12.1.2. legal person, company name, registration number and date, or other identification data and country of residence. If the person is a nominal account holder, behind the name must specify "nominal holder";
4.12.2. financial instrument ISIN code;
UR4.12.3.blo! financial instrument. "
3. Express 4.13 the following wording: "UR4.13.LCD financial instruments at the date of the lock is blocking SRI assets financial instruments. LCD after blocking of financial instruments to the notice of the meeting, the meeting cancellation or transfer to a different date of de-registration is not carried out, financial instruments, which are located on SR. LCD news about existing financial instruments SR in the owners list on the meeting. "
4. Make the following paragraph 4.15: "4.15. Issuer within one working day following the day of the meeting to the LCD on a meeting. The issuer is obliged to notify the LCD on the cancellation or postponement of the meeting to a different date not later than the following working day of the decision on the cancellation or postponement of the meeting. "
5. Express 4.16 as follows: "UR4.16.LCD within one business day after the issuer's written notification of the cancellation of the meeting, or the receipt of transfer sent to all members of the LCD of financial instruments to unlock."
6. To express the point 5.3 as follows: "UR5.3.LCD Full list or list the meeting is recorded for each person: 5.3.1. personal data: identificējošo 5.3.1.1. a natural person: name and surname, personal identification number, or other personally identifiable data and country of residence;
5.3.1.2. legal person-firm (saukum), the registration number and date, or other identification data and country of residence. If the person is a nominal account holder, behind a name in addition to specify "nominal holder";
5.3.2. financial instrument ISIN code;
5.3.3. each person owned or on meeting blocked financial instrument. "