Amendment Of Licences "credit Institutions And Credit Unions For The Activity Of Issuing Individual Credit Institutions And Credit Unions Regulatory Authorisation Transaction, Document Harmonization And Reporting Regulations Rules

Original Language Title: Grozījumi "Licenču kredītiestādes un krājaizdevu sabiedrības darbības veikšanai izsniegšanas, atsevišķu kredītiestāžu un krājaizdevu sabiedrību darbību reglamentējošo atļauju saņemšanas, dokumentu saskaņošanas un informācijas sniegšanas normatīvajos notei

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Financial and capital market Commission, the provisions of regulations No 25 in 2015 of 25 February (financial and capital market Commission of Protocol No 8 padomessēd 3. p.) Amendment of licences "credit institutions and credit unions for the activity of issuing individual credit institutions and credit unions regulatory authorisation transaction, document harmonization and reporting regulations provisions" do financial and capital market Commission of 25 September 2009. legislative provisions No. Licence 112 "credit institutions and credit unions for the activity of issuing individual credit institutions and credit unions regulatory authorisation transaction, document harmonization and regulatory arrangements for the provision of information" (hereinafter-the rules) the following amendments : 1. Replace the words "in paragraph 2.1 the banks" with the words "credit institutions". 2. Express 2.3.1 the following wording: "2.3.1. open branch of a credit institution in a foreign country or a Member State;" 3. Make 2.5.3. subparagraph by the following: "2.5.3. credit or credit unions, the Chairman of the Management Board of the Board members, the President of the Council, the members of the Governing Council, the risks, the Director responsible for the operational control of compliance, internal audit (audit) Department Manager and branch manager of a foreign credit institution or branch of a credit institution the head office in another Member State of the applicant (hereinafter officials). 4. a add to point 2.5 with apakšunkt in version 2.5.8. "2.5.8. credit institutions (employees) that perform basic functions.". 5. paragraph 5: replace the word "newspaper" with the words "official publication", replace the word "duplicate" with the word "repeated". 6. Add to paragraph 6 with the following paragraph 6.2.1: "6.2.1 the shareholder agreement, if any;". 7. Add to subparagraph 6.8. after the words "the members of the Council" with the words "risk Director, responsible for the operational control of compliance". 8. Make point 7 by the following: "7. Decision on the issue of the licence is accepted by the credit institution after the founding of the credit institution are taken into the formation capital-money transfer to the Bank of Latvia open a temporary account and announced it to the Commission.". 9. Supplement 10.1. section behind the words "it Manager" with the words "risk Director, responsible for the operational control of compliance". 10. Make the following point 19: "19. With a view to re-registering a licence in the case of a change of name, the credit institution or credit union shall submit to the Commission an application. A foreign credit institution application shall also be accompanied by a certified copy of the registration certificate. ". 11. Supplement 21.1 21.2. and 21.3. subparagraph after the word "Commission" with the words "or, where appropriate,-the European Central bank-". 12. Add to paragraph 23, after the word "Commission" with the words "or, where appropriate,-the European Central bank-'. 13. Express 24 as follows: "the Commission shall allow 24 To reorganize the credit institution or credit unions, all the company involved in the reorganisation shall submit to the Commission the following documents: 24.1. driver signed application addressed to the Commission, that lists all the documents attached to it, t.sk. contains information about the reorganization. In addition to the credit institution also provides information for those Member States in which the credit institution's creditors; 24.2. after the reorganization of the State of completion of the first day of the operation is a continuation of the credit balance (annex 4) or credit balance (annex 5), and in accordance with its data, perform the same capital and capital adequacy ratios calculation. ". 14. Delete 25, 26, 36, 46, 6, and 7 of the annex. 15. Express 31 and 32 as follows: "31. a credit institution wishing to establish a branch in the Member State shall submit to the Commission a statement in English in accordance with the European Commission of 27 august 2014 the implementation of Regulation No 926/2014, establishing implementing technical standards in relation to the standard forms, templates and procedures and notifications concerning the right of establishment and freedom to provide services in accordance with the implementation of the directive of the European Parliament and of the Council 13/36/EU (hereinafter the implementing regulation) and the European Commission 4 June 2014, the delegated Regulation No. 1151/2014, in the context of the information to be provided, if you use the right of establishment and freedom to provide services, complements the directive of the European Parliament and of the Council of 13/36/EU relating to technical standards, regulatory requirements (hereinafter referred to as the delegated Regulation). In addition to the credit institution documents and notifications submitted to the Latvian language with a translation of the document in the language of the country where the credit institution plans to open a branch. If this possibility was provided for in the relevant Member State, the credit institution may submit a document translation in English. 32. a credit institution which wishes to commence provision of financial services in the Member State, without having to open the branch, shall submit to the Commission a statement in English in accordance with the implementing regulation and delegated regulation. ". 16. Make the following introductory paragraph 35:35. "on the Commission to ensure that the provisions referred to in paragraph 2.5.3. compliance with the law of credit institutions by officials or the credit unions Act, the credit institution or Credit Union, 30 working days before the candidate began to carry out their duties or are re-elected to the same Office, shall submit to the Commission the following documents:" 17. To supplement the provisions of the following paragraph 35.4:35.4. a credit institution the "applicant eligibility assessment." 18. To supplement the rules by 21.8 points as follows: "If the changes to the credit institution 35.1 Council there have been one or more Council members leaving the post, the credit institution shall submit to the Commission the provisions referred to in paragraph 35 of the information and documents on those Council members who are elected from the new. If the members of the Council who are elected once, not repeatedly assessed, credit institutions shall justify it in the application ". 19. To supplement the rules by 37.3 and 37.4 points as follows: "credit institution shall draw up a list of 37.3 with people (employees) that perform the basic functions of the credit institution, and each year up to February 1, in writing, to submit to the Commission on the status of the previous December 31. 23.2 If the Commission submitted that rule 2, 3, 6, 10, 11 and 12 of the licences referred to in chapter for the activity of the credit institution or of the business of certain regulatory permits, the credit institution shall also submit the relevant proof of authorization of the person to the processing of personal data (10.-14.). ". 20. Replace paragraph 49, the words "duplicate licence" with the words "license". 21. Supplement 51 behind the words "foreign credit institution branch" with the words "representation" of a foreign credit institution. 22. Supplement with 10, 11, 12, 13 and 14 of the annex (annex). Financial and capital market Commission Vice Chairman p. Birdie 10. pielikumsFinanš and capital market Commission 25.09.2009. regulatory arrangements no 112 of the protection of personal data and verification of the personal data processing purpose and legal basis of suitability and conformity test credit security and stability depends on the current internal organisation structure and corporate governance arrangements. The Council of 15 October 2013 Regulation (EU) no 1024/2013 (DAMAGE) 1 European Central bank (ECB) assigns specific tasks concerning policies relating to the prudential supervision of credit prudenciāl on the basis of the Treaty on the functioning of the European Union article 6, paragraph 127 (TFEU). Prudenciāl for the purposes of monitoring, the ECB is entrusted with the tasks regarding the participating credit institutions founded in the Member States referred to in article 4, article 6 of the regulation the DAMAGE. In accordance with article 4 of the regulation of ITS paragraph 1 (e)), the ECB must ensure compliance with the relevant legislation of the Union, with the applicable requirements, the credit institution must be strict management measures, including requirements for compliance and suitability of the persons who conduct the business of the credit institution. To perform their tasks in accordance with article 16 of the regulation, ITS paragraph 2 m), the ECB is empowered to exempt any moment of work management structure of credit institutions, which do not fulfil the above mentioned EU law requirements. CRD IV2 article 9, paragraph 1 provides that the members of the management body will always be of sufficiently good repute and have sufficient knowledge, skills and experience to do their jobs. Important institutions within ITS Pamatregulas3 and article 93.94 establishes the rules for credit manager of the adequacy of the evaluation carried out by the ECB. To ensure that the eligibility and compliance requirements are met at any time, in accordance with article 94 of the basic WORK of the ECB may propose to make a new assessment on the basis of new facts, if the ECB becomes aware of new facts that may affect the original assessment of the driver. The transfer of personal data All the personal data requested are required to evaluate the relevant authorities to monitor the appropriateness of the members of the management and compliance. If the data is not submitted, the ECB cannot be assessed or relevant managers meet the eligibility and compliance requirements to ensure sound implementation of the management measures on credit institutions. Thus, the ECB may reject the appointment of the Manager or request their dismissal on this basis. personal data importer or recipient Group Fitness and compliance test, the personal data may be disclosed to persons who need to know (on a need-to-know basis), the GNI staff, the joint monitoring team (Joint Supervisory teams) members (ECB-Mikroprudenciāl Directorate-General for the supervision of (I) or (II)), the General Directorate of the ECB – the supervisory staff IV Mikroprudenciāl (part of the Division of licensing Authorisation), the Secretariat of the Executive Board of the ECB Supervision and supervisory board members as well as members of the Governing Council of the ECB. the applicable retention period for the ECB to keep personal data provided in the eligibility and compliance applications/notifications, 15 years; from the date of notification of the application or, if it is revoked before the official decision making; from the date of negative decision or from the date when the data subject ceases to be monitored in the management of the authority structure in the event of a positive decision of the ECB. If the reassessment is carried out on the basis of new facts, the ECB retained personal data in fifteen years from the date of adoption of the decision of the ECB. If it is proposed that the administrative action or judicial proceedings, extending the storage period and shall expire one year after the entry into force of the decision on the imposition of sanctions, which has the final decision. Applicable data protection and data processor of the European Parliament and of the Council of 18 December 2000 Regulation (EC) No 45/2001 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies on the free movement of such apriti4 is applicable to the processing of personal data by the ECB. Regulation (EC) No 45/2001, the ECB is the data controller (the data Controller). Rights of the data subject that the data subject's personal data for the purpose of that prudenciāl in the process of monitoring the ECB, have the right to access and the right to rectify the data concerning him in accordance with the ECB of 17 April 2007, article 9 of the decision, adopting data protection rules of the ECB (ECB/2007/1), 5. contact us if you have any questions or complaints about the data processing process, you may contact the data controller (the data Controller) Authorisation@ecb.europa.eu and the national competent authority and/or the FCMC. @fktk. en. In addition, you also have the right to recourse at any time to the European data protection supervisor (European Data Protection Supervisor). Data subjects with your questions can also apply to the European data protection supervisor: https://secure.edps.europa.eu/EDPSWEB/edps/lang/en/EDPS. Proof of this agree that financial and capital market Commission in matters within their competence, receives and processes the financial and capital market Commission submitted to me as a physical personal data, including sensitive personal data. I agree that my personal data are transferred to the European Central bank to carry out its functions, as well as agree that the European Central bank shall transfer my personal data in the financial and capital market Commission. First name, last name, place, date signature 1 Council of 15 October 2013 Regulation (EU) no 1024/2013 European Central bank entrusted with specific tasks concerning policies relating to the supervision of credit institutions, OJ L prudenciāl 175.14.6.2014.2 a directive of the European Parliament and of the Council no 2013/36/EU (26 June 2013) for access to the activities of credit institutions and credit institutions and investment firms for the monitoring of the prudenciāl amending Directive 2002/87/EC and repealing directives 2006/48/EC and 2006/49/EC, OJ L 176, 27.6.2013.3 European Central bank regulation (EU) no 468/2014 (2014-16 April), establishing a joint monitoring mechanism in the basic structure of the European Central bank's cooperation with national competent authorities, and designated authorities, OJ L 141, 14.5.2014.4 OJ L 8, 12.1.2001.5 OJO L116, 4.5.2007.     11. pielikumsFinanš and capital market Commission 25.09.2009. Regulation No. 112, regulatory data protection, licensing procedure for processing personal data for the purpose and legal basis of the licensing procedure in the course of the business of launching, prior authorization is the main prudenciāl of the method of supervision, to ensure that this activity is carried out only by operators who have a stable economic base, structure (organisation) that can prevent the special deposit taking and credit for service-specific risks and appropriate managers (director). The Council of 15 October 2013 Regulation (EU) no 1024/2013 (DAMAGE) 1 European Central bank (ECB) assigns specific tasks concerning policies relating to the prudential supervision of credit prudenciāl on the basis of the Treaty on the functioning of the European Union article 6, paragraph 127 (TFEU). Prudenciāl for the purposes of monitoring, the ECB is entrusted with the tasks regarding the participating credit institutions founded in the Member States referred to in article 4, article 6 of the regulation the DAMAGE. Under article 4 of the regulation of ITS paragraph 1 (a)), the ECB shall issue authorisations of credit institutions, subject to ITS Regulation of article 14. In accordance with that article, the application for authorisation of a credit institution to initiate action that will be established in a participating Member State, the Member State shall be submitted to the national competent authority (GNI), which provides for the establishment of a credit institution in accordance with the requirements laid down in the relevant national legislation. If all requirements are met, the GNI estimates the application and adopt a draft decision proposing the ECB to issue the permit. The ECB expressed objections to the draft decision only if not met the relevant Union law sets out conditions permitting. In accordance with the CRD IV2 paragraph 1 of article 13, article 14, paragraph 2 of article 16, paragraph 3, and article 91 should provide the proposed management structure of the suitability of the members and shareholders. DAMAGE Pamatregulas3 article 73 establishes the GNI and ECB cooperation arrangements within the framework of the licensing procedure. The transfer of personal data All the personal data requested are required to evaluate the nominated members of the management body and the suitability of the shareholders in respect of the application to issue the permit to start the business of credit institutions. If the data is not submitted, the application is rejected on the basis of incomplete information. personal data importer or recipient groups in the course of the licensing procedure, personal data may be disclosed to persons who need to know (on a need-to-know basis), the GNI staff, the European banking authority employees joint monitoring team (Joint Supervisory teams) members (ECB-Mikroprudenciāl Directorate-General for the supervision of (I) or (II)), the ECB's Dg-Mikroprudenciāl supervisory employees, the ECB Directorate-General III-Mikroprudenciāl IV of the supervisory staff (part of licensing Authorisation Division), the Secretariat of the Executive Board of the ECB Supervision and supervisory board members as well as members of the Governing Council of the ECB. the applicable retention period for the ECB to keep personal data provided to licence applications, for a period of 15 years from the date of notification of the application or, if it is revoked before the official decision making; from the date of negative decision or from the date when the data subject ceases to be monitored in the management structure of the authority, as the main function of the bottler or the shareholders who participated in the establishment of the authority monitored (the founding shareholder of the supervised entity), in the case of a positive decision of the ECB. If it is proposed that the administrative action or judicial proceedings, extending the storage period and shall expire one year after the entry into force of the decision on the imposition of sanctions, which has the final decision. Applicable data protection and data processor of the European Parliament and of the Council of 18 December 2000 Regulation (EC) No 45/2001 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies on the free movement of such apriti4 is applicable to the processing of personal data by the ECB. Regulation (EC) No 45/2001, the ECB is the data controller (the data Controller). Rights of the data subject that the data subject's personal data for the purpose of that prudenciāl in the process of monitoring the ECB, have the right to access and the right to rectify the data concerning him in accordance with the ECB of 17 April 2007, article 9 of the decision, adopting data protection rules of the ECB (ECB/2007/1), 5. contact us if you have any questions or complaints about the data processing process, you may contact the data controller (the data Controller) Authorisation@ecb.europa.eu , and/or the national competent authority fktk@fktk.lv in addition, you also have the right to recourse at any time to the European data protection supervisor (European Data Protection Supervisor). Data subjects with your questions can also apply to the European data protection supervisor: https://secure.edps.europa.eu/EDPSWEB/edps/lang/en/EDPS. Proof of this agree that financial and capital market Commission in matters within their competence, receives and processes the financial and capital market Commission submitted to me as a physical personal data, including sensitive personal data. I agree that my personal data are transferred to the European Central bank to carry out its functions, as well as agree that the European Central bank shall transfer my personal data in the financial and capital market Commission. First name, last name, place, date signature 1 Council of 15 October 2013 Regulation (EU) no 1024/2013 European Central bank entrusted with specific tasks concerning policies relating to the supervision of credit institutions prudenciāl, OJ L 175, 14.6.2014.2 a directive of the European Parliament and of the Council no 2013/36/EU (26 June 2013) for access to the activities of credit institutions and credit institutions and investment firms for the monitoring of the prudenciāl amending Directive 2002/87/EC and repealing Directive 2006/48/EC and 2006/49/EC, OJ L 176, 27.6.2013.3 European Central bank regulation (EU) no 468/2014 (2014-16 April), establishing a joint monitoring mechanism in the basic structure of the European Central bank's cooperation with national competent authorities, and designated authorities, OJ L 141, 14.5.2014.4 OJ L 8, 12.1.2001.5 OJO L116 , 4.5.2007.     12. pielikumsFinanš and capital market Commission 25.09.2009. Regulation No. 112 laws, protection of personal data essential for the participation to the processing of personal data in the purpose and legal basis of a qualifying holding in the context of the procedure of Any new owner eligibility assessment before major acquisitions or disposals of the credit institution is an indispensable tool to ensure the new owner of the business of credit institutions and financial stability. The Council of 15 October 2013 Regulation (EU) no 1024/2013 (DAMAGE) 1 European Central bank (ECB) assigns specific tasks in relation to the supervision of credit institutions prudecniāl policies on the basis of the Treaty on the functioning of the European Union article 6, paragraph 127 (TFEU). Prudenciāl for the purposes of monitoring, the ECB is entrusted with the tasks regarding the participating credit institutions founded in the Member States referred to in article 4, article 6 of the regulation the DAMAGE. In the light of article 4 of the regulation of ITS paragraph 1 (c)) and article 15 of the ECB assesses notifications of significant acquisitions and disposals of credit (except in the case of bank settlement bank resolution) and adopted decision or oppose the proposed acquisition, based on evaluation criteria that set out in the relevant provisions of Union law. In accordance with the CRD IV2, article 23 paragraph 1 (a)) and (b)) evaluates the reputation of the proposed acquirer and each senior management representatives who obtain a planned major holdings in a credit institution, headed by reputation, expertise and experience. ITS article Pamatregulas3 85 national competent authorities (GNI) and ESB cooperation provisions on the participation of the relevant procedure. The transfer of personal data All personal data requested are required to evaluate the essential participation of the acquiring credit institution's reputation and every management structure and senior management employees, who get a significant participation, will be led by the target of the business of credit institutions. If the data is not submitted application for your intention to acquire a qualifying holding in a credit institution deemed to be incomplete and the ECB oppose the proposed acquisition on the grounds that the information on the proposed acquirer is incomplete (CRD IV article 23 (2)). the recipients of personal data or the recipient of Significant participation in the group in the course of the proceedings, personal data may be disclosed to persons who need to know (on a need-to-know basis), the GNI staff, the joint monitoring team (Joint Supervisory teams) members (ECB-Mikroprudenciāl Directorate-General for the supervision of (I) or (II)), the ECB's Dg-Mikroprudenciāl supervisory employees, the ECB Directorate-General III-Mikroprudenciāl IV of the supervisory staff (part of licensing Authorisation Division), the Secretariat of the Executive Board of the ECB Supervision and supervisory board members as well as members of the Governing Council of the ECB. the applicable retention period for the ECB to keep personal data provided in applications or notifications of major holdings of 15 years from the date of notification of the application or, if it is revoked before the official decision making; from the date of negative decision or from the date on which the data subject is no longer the shareholders who have a significant interest or is not monitored at the highest management bodies of the ECB decision was positive the bottler. If it is proposed that the administrative action or judicial proceedings, extending the storage period and shall expire one year after the entry into force of the decision on the imposition of sanctions, which has the final decision. Applicable data protection and data processor of the European Parliament and of the Council of 18 December 2000 Regulation (EC) No 45/2001 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies on the free movement of such apriti4 is applicable to the processing of personal data by the ECB. Regulation (EC) No 45/2001, the ECB is the data controller (the data Controller). Rights of the data subject that the data subject's personal data for the purpose of that prudenciāl in the process of monitoring the ECB, have the right to access and the right to rectify the data concerning him in accordance with the ECB of 17 April 2007, article 9 of the decision, adopting data protection rules of the ECB (ECB/2007/1), 5. contact us if you have any questions or complaints about the data processing process, you may contact the data controller (the data Controller) Authorisation@ecb.europa.eu and/or the national competent authority fktk@fktk.lv in addition, you also have the right at any time recourse to the European data protection supervisor (European Data Protection Supervisor). Data subjects with your questions can also apply to the European data protection supervisor: https://secure.edps.europa.eu/EDPSWEB/edps/lang/en/EDPS. Proof of this agree that financial and capital market Commission in matters within their competence, receives and processes the financial and capital market Commission submitted to me as a physical personal data, including sensitive personal data. I agree that my personal data are transferred to the European Central bank to carry out its functions, as well as agree that the European Central bank shall transfer my personal data in the financial and capital market Commission. First name, last name, place, date signature 1 Council of 15 October 2013 Regulation (EU) no 1024/2013 European Central bank entrusted with specific tasks concerning policies relating to the supervision of credit institutions prudenciāl, OJ L 175, 14.6.2014.2 a directive of the European Parliament and of the Council no 2013/36/EU (26 June 2013) for access to the activities of credit institutions and credit institutions and investment firms for the monitoring of the prudenciāl amending Directive 2002/87/EC and repealing Directive 2006/48/EC and 2006/49/EC, OJ L 176, 27.6.2013.3 European Central bank regulation (EU) no 468/2014 (2014-16 April), establishing a joint monitoring mechanism in the basic structure of the European Central bank's cooperation with national competent authorities, and designated authorities, OJ L 141, 14.5.2014.4 OJ L 8, 12.1.2001.5 OJO L116 , 4.5.2007.     13. pielikumsFinanš and capital market Commission 25.09.2009. regulatory arrangements no 112 of important personal data protection authorities under the right of establishment in the territory of the Member State concerned, not to the processing of personal data in the purpose and legal basis of credit institutions established in participating Member States, have the right of establishment and freedom to provide services within the territory of the Member State concerned. The Council of 15 October 2013 Regulation (EU) no 1024/2013 (DAMAGE) 1 European Central bank trust specific tasks concerning policies relating to the prudential supervision of credit prudenciāl on the basis of the Treaty on the functioning of the European Union article 6, paragraph 127 (TFEU). Prudenciāl for the purposes of monitoring, the ECB is entrusted with the tasks regarding the participating credit institutions founded in the Member States referred to in article 4, article 6 of the regulation the DAMAGE. In accordance with article 4 of the regulation of ITS paragraph 1 (b)), the ECB is entitled to carry out tasks that are carried out the competent authority in the home Member State in accordance with Union law for credit institutions established in participating Member State and which wishes to open a branch office in a non-participating Member State. The powers of the home Member State with regard to credit institutions the right of establishment is set out in the CRD IV2 article 35 and shall also include the evaluation of conformity of the administrative structure. In this context the important monitoring authority must provide information on the persons responsible for the management of the branch. Procedures to be followed by national authorities (GNI) and the ECB in relation to the relevant monitoring bodies, on the right of establishment is not involved in Member States are set out in ITS article 17, Pamatregulas3 in point 1. The transfer of personal data by all required personal data, to be presented to the Commission implementing Regulation (EU) no 926/2014 (August 27, 2014) form, it is necessary to evaluate the suitability of the persons capable to take responsibility for not participating in the territory of a Member State established in the relevant authorities monitored the management of the branch or the main functions. If the data is not submitted, the communication shall be deemed not to have been fully met, and subject to the Commission's implementing regulation referred to in article 5(2) and (3): significant authority must be informed of the notice of shortcomings, and the three-month-long evaluation period starts only after you receive a notification that contains complete information. the recipients of personal data or personal data of the beneficiary groups, made in relation to the authorities of the importance of the right of establishment in another Member State is not participating in the territory, is disclosed to persons who need to know (on a need-to-know basis), the GNI staff, the joint monitoring team (Joint Supervisory teams) members (ECB-Mikroprudenciāl Directorate-General for the supervision of (I) or (II)), the ECB's Dg-Mikroprudenciāl supervisory employees, the ECB Directorate-General III-Mikroprudenciāl IV of the supervisory staff (part of licensing Authorisation Division) The Supervisory Board of the ECB, by the Secretariat and the Supervisory Board members as well as members of the Governing Council of the ECB. the applicable retention period for the ECB to keep personal data provided by the monitoring authorities of important applications or notices on the right of establishment in the territory of the Member State concerned, not 15 years from the date of notification of the application or, if it is revoked before the official decision making; from the date of negative decision or from the date when the data subject ceases to branch management structure as a leader or main bottlers function in case of a positive decision of the ECB. If it is proposed that the administrative action or judicial proceedings, extending the storage period and shall expire one year after the entry into force of the decision on the imposition of sanctions, which has the final decision. Applicable data protection and data processor of the European Parliament and of the Council of 18 December 2000 Regulation (EC) No 45/2001 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies on the free movement of such apriti4 is applicable to the processing of personal data by the ECB. Regulation (EC) No 45/2001, the ECB is the data controller (the data Controller). Rights of the data subject that the data subject's personal data for the purpose of that prudenciāl in the process of monitoring the ECB, have the right to access and the right to rectify the data concerning him in accordance with the ECB of 17 April 2007, article 9 of the decision, adopting data protection rules of the ECB (ECB/2007/1), 5. contact us if you have any questions or complaints about the data processing process, you may contact the data controller (the data Controller) Authorisation@ecb.europa.eu , and/or the national competent authority fktk@fktk.lv. In addition, you also have the right to recourse at any time to the European data protection supervisor (European Data Protection Supervisor). Data subjects with your questions can also apply to the European data protection supervisor: https://secure.edps.europa.eu/EDPSWEB/edps/lang/en/EDPS. Proof of this agree that financial and capital market Commission in matters within their competence, receives and processes the financial and capital market Commission submitted to me as a physical personal data, including sensitive personal data. I agree that my personal data are transferred to the European Central bank to carry out its functions, as well as agree that the European Central bank shall transfer my personal data in the financial and capital market Commission. First name, last name, place, date signature 1 Council of 15 October 2013 Regulation (EU) no 1024/2013 European Central bank entrusted with specific tasks concerning policies relating to the supervision of credit institutions prudenciāl, OJ L 175, 14.6.2014.2 a directive of the European Parliament and of the Council no 2013/36/EU (26 June 2013) for access to the activities of credit institutions and credit institutions and investment firms for the monitoring of the prudenciāl amending Directive 2002/87/EC and repealing Directive 2006/48/EC and 2006/49/EC, OJ L 176, 27.6.2013.3 European Central bank regulation (EU) no 468/2014 (2014-16 April), establishing a joint monitoring mechanism in the basic structure of the European Central bank's cooperation with national competent authorities, and designated authorities, OJ L 141, 14.5.2014.4 OJ L 8, 12.1.2001.5 OJO L116 , 4.5.2007.     14. pielikumsFinanš and capital market Commission 25.09.2009. regulatory arrangements no 112 of important personal data protection authorities under the right of establishment in another Member State in the territory of the concerned processing personal data for the purpose and legal basis of credit institutions established in participating Member States, have the right of establishment and freedom to provide services within the territory of the Member State concerned (the DAMAGE). The Council of 15 October 2013 Regulation (EU) no 1024/2013 (DAMAGE) 1 European Central bank entrusted with specific tasks concerning policies relating to the prudential supervision of credit prudenciāl on the basis of the Treaty on European The Union's action point 6 of article 127 (TFEU). Prudenciāl for the purposes of monitoring, the ECB is entrusted with the tasks regarding the participating credit institutions founded in the Member States referred to in article 4, article 6 of the regulation the DAMAGE. In accordance with ITS article 17 of the regulation of the relevant Eu legislation in the Member States involved in the procedure for credit institutions wishing to establish a branch within the territory of another Member State and the relevant home Member State and host Member State competence applies only to those tasks with article 4 of the regulation of the DAMAGE is not asked to the ECB. The procedures followed by the national competent authorities (GNI) and the ECB for significant monitoring bodies of other establishment in the territory of the Member State concerned are set out in ITS article 11 Pamatregulas2 1 and 3 points. Subject to the above requirements, the European Central bank must communicate information important monitoring authorities have provided GNI under CRD IV3 paragraph 2 of article 35, which States that the relevant monitoring body provides information about the persons responsible for the management of the branch. The transfer of personal data by all required personal data, to be presented to the Commission implementing Regulation (EU) no 926/2014 (August 27, 2014) form, it is necessary to evaluate the suitability of the persons capable to take responsibility for other participating in the territory of a Member State established important bodies monitored the management of the branch or the main functions. If the data is not submitted, the communication shall be deemed not to have been fully met. Significant authority must be informed of the notice of defects, and the two-month assessment period is started only after you receive a notification that contains complete information. the recipients of personal data or personal data of the beneficiary groups, made in relation to the authorities of the importance of the right of establishment in another Member State in the territory concerned, is disclosed to persons who need to know (on a need-to-know basis), the GNI staff, the joint monitoring team (Joint Supervisory teams) members (ECB-Mikroprudenciāl Directorate-General for the supervision of (I) or (II)), the ECB's Dg-Mikroprudenciāl supervisory employees, the ECB Directorate-General III-Mikroprudenciāl IV of the supervisory staff (part of licensing Authorisation Division) The Supervisory Board of the ECB, by the Secretariat and the Supervisory Board members as well as members of the Governing Council of the ECB. the applicable retention period for the ECB to keep personal data provided by the monitoring authorities of important applications or notices of other establishment in the territory of the Member State concerned for a period of 15 years from the date of notification of the application or, if it is revoked before the official decision making; from the date of negative decision or from the date when the data subject ceases to branch management structure as a leader or main bottlers function in case of a positive decision of the ECB. If it is proposed that the administrative action or judicial proceedings, extending the storage period and shall expire one year after the entry into force of the decision on the imposition of sanctions, which has the final decision. Applicable data protection and data processor of the European Parliament and of the Council of 18 December 2000 Regulation (EC) No 45/2001 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies on the free movement of such apriti4 is applicable to the processing of personal data by the ECB. Regulation (EC) No 45/2001, the ECB is the data controller (the data Controller). Rights of the data subject that the data subject's personal data for the purpose of that prudenciāl in the process of monitoring the ECB, have the right to access and the right to rectify the data concerning him in accordance with the ECB of 17 April 2007, article 9 of the decision, adopting data protection rules of the ECB (ECB/2007/1), 5. contact us if you have any questions or complaints about the data processing process, you may contact the data controller (the data Controller) Authorisation@ecb.europa.eu , and/or the national competent authority fktk@fktk.lv. In addition, you also have the right to recourse at any time to the European data protection supervisor (European Data Protection Supervisor). Data subjects with your questions can also apply to the European data protection supervisor: https://secure.edps.europa.eu/EDPSWEB/edps/lang/en/EDPS. Proof of this agree that financial and capital market Commission in matters within their competence, receives and processes the financial and capital market Commission submitted to me as a physical personal data, including sensitive personal data. I agree that my personal data are transferred to the European Central bank to carry out its functions, as well as agree that the European Central bank shall transfer my personal data in the financial and capital market Commission. First name, last name, place, date signature 1 Council of 15 October 2013 Regulation (EU) no 1024/2013 European Central bank entrusted with specific tasks concerning policies relating to the supervision of credit institutions prudenciāl, OJ L 175, 14.6.2014.2 European Central bank regulation (EU) no 468/2014 (2014-16 April), establishing a joint monitoring mechanism in the basic structure of the European Central bank's cooperation with national competent authorities, and designated authorities OJ L 141, 14.5.2014., 3 European Parliament and Council Directive No. 13/36/EU (26 June 2013) for access to the activities of credit institutions and credit institutions and investment firms for the monitoring of the prudenciāl, amending Directive 2002/87/EC and repealing Directive 2006/48/EC and 2006/49/EC, OJ L 176, 27.6.2013 4 OJ L 8, 12.1.2001.5 OJO L116, 4.5.2007.

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