Financial and capital market Commission, the provisions of regulations No 297 Riga 2014 December 10 (financial and capital market Commission Council Protocol No 4.45 p.)
Financial and capital market participants about the payment of financial and capital market Commission in 2015 for funding and reporting provisions of regulations Issued pursuant to the financial and capital market Commission of the law article 24, second paragraph, under the supervision of insurance companies and the law of the second paragraph of article 8.7, reinsurance law, article 11 of the fourth part of the law of credit institutions, the second paragraph of article 100.1, the investment management company law article 78.1 Fifth Alternative investment funds and their Manager law article 82 fifth, law "on private pension funds," the second part of article 34, and payment services and electronic cash law article 40, third subparagraph and article 24.9 sixth part i. General question 1. "financial and capital market participants about the payment of financial and capital market Commission in 2015 for funding and reporting provisions of regulations" (hereinafter-the rules) are binding on insurers , reinsurers, private pension funds, investment companies regulated market organizers, Latvian central depository, investment management companies, alternative investment fund managers, credit institutions, credit unions, electronic money institutions, payment institutions and retail payment systems (hereinafter – financial and capital market participants), as well as foreign branches of economic operators and of the Member States, in accordance with the law to give financial services (hereinafter referred to as foreign branches of economic operators and of the Member States). II. the financing of about 2. Financial and capital market participants the financial and capital market Commission (hereinafter the Commission) on the financing of the operation in 2015 the following extent: 2.1. each insurer: payment of the quarter received gross insurance premiums direct amounting to: 2.1.1. percent of vehicles 0.2 insurance against civil liability in respect of the insurance operations; 2.1.2.0225 percent of life insurance with savings of building operations, t.sk. from unit-linked life insurance contracts; 2.1.3.0.236 percent of other insurance operations; 2.2. each reinsurers: payments 0.4 percent from fourth quarter gross reinsurance premiums received; 2.3. each private pension fund: payments 0.4 percent of retirement plan participants and their good quarterly instalments in the private pension funds licensed in pension plans; 2.4. each investment firm: payment 1 percent of the amount of the brokerage firm's business quarter gross revenues, but not less than eur 2 845 a year; 2.5. each investment management company: payments amounting to: 2.5.1. In Latvia, the licensed investment management company: 0.0183 2.5.1.1. percent of the Administration's existing investment funds and alternative investment funds, if the Administration is also the alternative investment funds, the average amount of assets in the quarter, but not less than 3 557 per year; 2.5.1.2.1 percent of the investment services provided by gross revenue quarter, but not less than euro in the year 711; 2.5.2. Member State licensed investment management company in Latvia registered investment fund and/or alternative investment Fund (hereinafter – the Fund together) 0.013 percent of the its, Latvia registered the Fund average about a quarter of the assets, but not less than eur 1 423 a year; 2.5.3. Member State licensed investment management company branch established in Latvia: 1 percent of its width comes unstuck. In Latvia, the Foundation provided management services gross revenue in the quarter, but not less than 2 134 per year; 2.5.3.2.1 percent of its investment services provided in Latvia gross revenue quarter, but not less than euro in the year 711; 2.6. for each alternative investment Fund Manager: payments amounting to: 2.6.1. licensed or registered in Latvia, the alternative investment Fund Manager: 0.0183 2.6.1.1. percent of the Administration's existing alternative investment fund assets averaged about a quarter, but no less than 3 557 per year, if it is licensed to the alternative investment fund manager; 2.6.1.2. percent of its managerial 0.0183 existing alternative investment fund assets averaged about a quarter, but not less than eur 2 845 a year, if it is registered on the alternative investment fund manager; 2.6.1.3.1 209 euros per year for each Member State the management of existing funds or foreign fund investment share distribution; 2.6.2. State licensed alternative investment fund manager for branch: 2.6.2.1.1 percent of the amount provided in Latvia the alternative investment fund management services gross revenue in the quarter, but not less than 2 134 per year; 2.7. each regulated market Organizer: 1.84 percent in payments from regulated market Organizer business gross revenue in the quarter, but not less than 7 114 euros a year; 2.8. The Latvian Central Depositary: 1.84 percent in payments from the depository business gross revenue in the quarter, but not less than 7 114 euros a year; 2.9. each credit union: 0.033 percent payments from credit unions, the average size of assets per quarter; 2.10. every credit institution: payment percent from credit 0.00465 's average asset size quarter; 2.11. the authority for each payment: payments amounting to: 2.11.1.0.05 percent of the payment authority payment totals by quarter, but no less than 3 557 euros per year if it received the license for payment institutions; 2.11.2.0.05 percent of the payment authority payment totals by quarter, but not less than euro 426 per year if it established the register of payment institutions; 2.12 each authority: electronic money payments amounting to: 2.12.1. percent of 0.05 electronic money institutions Treasury of the issuer of electronic money totals for quarter, but no less than 3 557 euros per year if it received the license of electronic money institutions; 2.12.2.0.05 percent of the electronic money institution payment totals by quarter, but no less than 3 557 euros per year if it received a license to electronic money institutions and also provides payment services; 2.12.3.0.05 percent of the electronic money institution's Treasury of the issuer of electronic money totals for quarter, but not less than euro 426 per year, if it is registered in the register of electronic money institutions; 2.12.4.0.05 percent of the electronic money institution payment totals by quarter, but not less than euro 426 per year, if it is registered in the register of electronic money institutions and also provides payment services; 2.13. each retail payments system: 426 per year, if the registered retail payments system registry. 3. foreign and national merchant affiliates payments to finance the activities of the Commission in 2015 is determined in accordance with paragraph 2 of that provision, according to their scope. III. Payment and arrangements 4. This rule laid down in paragraph 2, the financial and capital market participants in payment basis: insurers: 4.1 review quarterly cash flow reflects the received insurance premiums under an insurance type and the other (also included) in the form of insurance premiums, for example, reducing the amount of claims paid on the portion of unpaid premiums and providing services received a bonus or part thereof; 4.2. the reinsurers: review the quarterly cash flow reflects the reinsurance premiums received and another (also includes) the reinsurance premiums received; 4.3. private pension funds: report quarterly retirement plan accounts net asset movement reflected in the contributions to the pension plans. 4.4. investment brokerage firms: business gross revenue, i.e. the quarterly report "profit and loss" report the explosion includes income: interest income, dividend income, commissions and other similar income, financial instruments trading business profit or loss revaluation of investments, other ordinary income and stock reduction income attributable to income referred to above; 4.5. In Latvia, the licensed investment management firms: 4.5.1 existing in the management of the Fund, the average amount of assets in the quarter, which includes the quarterly ' review of the management of public funds and capital requirements "specified all of company's investment funds and alternative investment funds, if the Administration's alternative investment funds, as well as the company's managed funds and alternative investment fund established as a legal person, the book value of total assets. The quarterly average is calculated as the amount of assets the assets of about a month on the last day of the month the average size; 4.5.2. investment services gross revenue-quarterly report "investment management company's profit and loss statement" the specified Commission income on investment services; 4.6. Member States licensed investment management companies in Latvia registered Fund: Fund registered in Latvia to review the quarterly average assets indicated in the "Report on the management of public funds and capital requirements." The quarterly average is calculated as the amount of assets the assets of about a month on the last day of the month the average size; 4.7. Member States licensed investment management company branches established in Latvia: 4.7.1. in Latvia the Fund provided management services gross revenue-quarterly report "investment management company's profit and loss statement" the specified Commission income on government services; 4.7.2. the investment service provided in gross revenue-quarterly report "investment management company's profit and loss statement" the specified Commission income on investment services; 4.8. in Latvia for licensed alternative investment manager – manages the alternative investment fund quarterly average assets, which include the quarterly ' review of the management of public funds and capital requirements "specified all Manager registered alternative investment fund and manage alternative investment fund established as a legal person, the book value of total assets. The quarterly average is calculated as the amount of assets the assets of about a month on the last day of the month the average size; 4.9. Member State licensed alternative investment fund manager Branch Office established in Latvia: Latvia provided the alternative investment fund management services gross revenue-report ' Manager a profit and loss statement "given the Administration's revenue services; 4.10. credit unions and credit institutions: review the quarterly average assets, which reflect the amount of monthly balance sheet total assets position. The quarterly average is calculated as the amount of assets the assets of about a month on the last day of the month the average size; 4.11. payment institutions: quarterly payments that included liquid investment authority report; 4.12. electronic money institutions: the Treasury of the issuer of electronic money in the quarter, which included the total amount of liquid investment authority report. 5. the financial and capital market participants to review the quarterly date next month 30. in accordance with the Commission on 14 October 2008, the legislative provision no 146 ' prepared statements electronically submit the legislative provisions "requirements to be submitted to the Commission for the following statements: 5.1. insurers ' review of the insurer's payment calculation for financial and capital market Commission for financing" (annex 1); 5.2. the reinsurers ' review of the calculation of the payment of the amounts owed the financial and capital market Commission for financing "(annex 2); 5.3. private pension funds, "review of the private pension fund payment calculation of financial and capital market Commission for financing" (annex 3); 5.4. investment brokerage firms — "review of investment brokerage companies calculate the financial and capital market Commission for financing" (annex 4); 5.5. investment management companies: Latvia licensed by investment management companies – "review of investment management companies calculate the financial and capital market Commission for financing" (annex 5); Member States licensed by investment management companies that have registered investment fund in Latvia, "the Reviews for State licensed investment management companies in Latvia registered investment fund calculation of financial and capital market Commission for financing" (5.1); the Member States of the licensed investment management company branches, "review of the Member State of the investment management company licensed affiliate payment calculation of financial and capital market Commission for financing" (5.2); 5.6. the alternative investment fund managers, "review of the alternative investment fund manager shall calculate the financial and capital market Commission for financing" (annex 6), licensed in a Member State the alternative investment fund manager for branch-"overview of State licensed alternative investment fund manager affiliate payment calculation of financial and capital market Commission for financing" (6.1); 5.7. the organizers of the regulated market and the Latvian Central Depositary – "review of regulated market Organizer/Latvian Central Depository payment calculation for financial and capital market Commission for financing" (annex 7); 5.8. the credit unions ' overview of credit unions calculate the financial and capital market Commission for financing "(annex 8); 5.9. credit institutions – "review of credit payment calculation for financial and capital market Commission for financing" (annex 9); 5.10. payment institutions-"review of payment institutions calculate the financial and capital market Commission for financing" (annex 10); 5.11. electronic money institutions ' report on electronic money institutions calculate the financial and capital market Commission for financing "(annex 11). 6. foreign and national merchant affiliates this rule laid down in paragraph 5 of the report shall be submitted according to their coverage. 7. payments by the Commission to finance market participants take on a quarterly basis, with the exception of this rule and in point 2.6.1.3.2.13. specific financial and capital market participants, to whole euros. 2.6.1.3. These provisions and referred to in paragraph 2.13. market participants payments for the year 2015 out to 2015 of 30 January. If the above financial and capital market participants starts during the year, the payment shall be determined in proportion to the duration and payment made for the financing of the Commission during the month following their registration in the appropriate register or in the month following receipt of the notification. If the above financial and capital market participants finishes during the accounting year, the payment shall be determined in proportion to the duration and payment for financing the conversion of the Commission, and the Commission shall take one month, if the financial and capital market participant formed overpayment, otherwise it will recalculate the fee provided for in the following it removal from the registry. 8. the financial and capital market participants, t.sk. foreign branches of economic operators and of the Member States, to the current quarter's 30 month date this provision laid down in paragraph 2, the Commission payments account no LV96 Bank LACBLV2X 0000 0000 1185 1 Latvian LACB, taxpayer registration No. 90001049028.9.  If this rule 2.4-2.8 and 2.11-2.13 above financial and capital market participants and the Member State or foreign merchant affiliate begins or ceases his activity during the reporting quarter, they shall be determined in proportion to the period of its operation. 10. If the financial and capital market participants for sector payments for the 2015 Commission revenue, compared to the Commission's budget estimate 2015 in accordance with the accrual principle approved by the financial and capital market supervision-related revenue, creates a surplus, the Commission calculated the financial and capital market Commission, the payment rate in 2015. annual revenues from a particular market sector and inform the sector financial and capital market participants and the members of this market sector revenue in proportion to the subject this surplus If it exceeds 100 euro for each sector, the financial and capital market participants. Market sector in proportion to the excess shall not be included in the calculation of the distribution of market participants, the annual amount of the minimum payment for financing the activities of the Commission, laid down in the financial and capital market Commission of the Act or the financial and capital market participants in the Special Act. ____ ____ ____ ____ ____ ___ * According to the Bank of Latvia "monetary financial institutions ' balance-sheet of the month" preparatory ". Financial and capital market Commission President k. Zakuli Insurer properties by ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ annex 1 financial and capital market Commission 10.12.2014. regulatory arrangements no 297 must be submitted to the financial and capital market Commission and the review quarter next month 30. date survey of insurer payment calculation for financial and capital market Commission and the financing of __________. year ___ ___ ___ ___ ___ ___ (integer) position position the rate amount% amount due (A) 01 02 03 ground vehicle insurance against civil liability in respect of the insurance operations 0.2 life insurance with savings of building operations, t.sk. market linked life insurance contracts other insurance operations 0225 0.236 X driver/total (signature) (name) performer (first name, last name, phone number, email address) Reinsurers properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ annex 2 financial and capital market Commission 10.12.2014. regulatory arrangements no 297 must be submitted to the financial and capital market Commission and the review quarter next month 30. date survey of reinsurers payment calculation for financial and capital market Commission and the financing of __________. year ___ ___ ___ ___ ___ ___ (integer) the amount of A Heading 01 gross reinsurance premiums received the rate of 0.7%, the amount of duty manager/(signature) (name) performer (first name, last name, phone number, email address) to the pension fund properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ annex 3 financial and capital market Commission 10.12.2014. regulatory arrangements no 297 must be submitted to the financial and capital market Commission and the review quarter next month 30. date survey of private pension fund payments in the calculation of the financial and capital market Commission and the financing of __________. year ___ ___ ___ ___ ___ ___ (integer) line amount (A) the pension plan members ' 01 and a good amount of contributions made to the rate of 0.2% the amount of duty manager/(signature) (name) performer (first name, last name, phone number, email address) investment brokerage company properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ 4. Annex financial and capital market Commission 10.12.2014. regulatory arrangements no 297 must be submitted to the financial and capital market Commission and the review quarter next month 30. date survey of investment firms to calculate the financial and capital market Commission and the financing of __________. year ___ ___ ___ ___ ___ ___ (integer) the amount of A Heading 01 business gross revenue payment rate 1 the payment amount driver/(signature) (name) performer (first name, last name, phone number, email address) investment management company properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ 5. Annex financial and capital market Commission 10.12.2014. regulatory arrangements no 297 must be submitted to the financial and capital market Commission and the review quarter next month 30. date survey of investment management companies calculate the financial and capital market Commission and the financing of __________. year ___ ___ ___ ___ ___ ___ (integer) position position the rate amount% amount due (A) existing investment 01 02 03 Administration fund the amount of the average actively Managed the alternative 0.0183 investment fund assets is about average 0.0183 investment services 1 total gross revenue X X driver/(signature) (name) performer (first name, last name, phone number, e-mail address) in the Member State of the investment management firm licensed in Latvia registered investment fund properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ 5.1 Annex financial and capital market Commission 10.12.2014 . regulatory arrangements no 297 must be submitted to the financial and capital market Commission and the review quarter next month 30. date survey of Member State licensed investment management companies calculate the financial and capital market Commission and the financing of __________. year ___ ___ ___ ___ ___ ___ (integer) position position the rate amount% amount registered in Latvia (A) 01 02 03 investment fund assets amounting to an average total of 0.013 X X driver/(signature) (name) performer (first name, last name, phone number, e-mail address) in the Member State of the investment management company licensed affiliates properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ 5.2 annex financial and capital market Commission 10.12.2014. regulatory arrangements no 297 must be submitted to the financial and capital market Commission and the review quarter next month 30. Report date the Member State of the investment management company licensed affiliate payment calculation of financial and capital market Commission and the financing of __________. year ___ ___ ___ ___ ___ ___ (integer) position position the rate amount% amount due (A) funds provided in Latvia 01 02 03 control service gross revenue 1 Latvia investment services provided in gross revenue total 1 X driver/(signature) (name) performer (first name, last name, phone number, email address), the alternative investment fund manager properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ annex 6 financial and capital market Commission 10.12.2014. regulatory arrangements no 297 must be submitted to the financial and capital market Commission and the review quarter next month date 30. m overview of alternative investment fund manager shall calculate the financial and capital market Commission and the financing of __________. year ___ ___ ___ ___ ___ ___ (integer) position position the rate amount% amount due (A) the administration of existing alternative 01 02 03 trust fund the amount of the average total assets 0.0183 X X driver/(signature) (name) performer (first name, last name, phone number, email address) Member State licensed alternative investment fund manager branches properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ 6.1 Annex financial and capital market Commission 10.12.2014. regulatory arrangements no 297 must be submitted to the financial and capital market Commission and the review quarter next month 30. date survey of Member State l icencēt is an alternative investment fund manager affiliate payment calculation of financial and capital market Commission and the financing of __________. year ___ ___ ___ ___ ___ ___ (integer) position position the rate amount% amount due (A) the alternative provided in Latvia 01 02 03 investment fund management services 1 total gross revenue X X driver/(signature) (name) performer (first name, last name, phone number, e-mail address) on the regulated market of the organiser/Latvian Central Depository properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ annex 7 financial and capital market Commission 10.12.2014. regulatory arrangements no 297 must be submitted to the financial and capital market Commission and the review quarter next month 30. date survey of regulated market Organizer/Latvian Central Depository payment calculation for financial and capital market Commission and the financing of __________. year ___ ___ ___ ___ ___ ___ (integer) the amount of A Heading 01 business gross revenue rate of 1.84%, the amount of driver/(signature) (name) performer (first name, last name, phone number, email address), credit unions properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ Annex 8 financial and capital market Commission 10.12.2014. regulatory arrangements no 297 must be submitted to the financial and capital market Commission and the review quarter next month 30. date survey of credit unions calculate the financial and capital market Commission and the financing of __________. year ___ ___ ___ ___ ___ ___ (integer) line amount (A) the average amount of assets 01, the rate of the duty, 0.033% payment Manager/(signature) (name) performer (first name, last name, phone number, e-mail address) on the properties of the credit institution ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ 9. financial and capital market Commission 10.12.2014. regulatory arrangements no 297 must be submitted to the financial and capital market Commission and the review quarter next month 30. date survey of credit institutions to calculate the financial and capital market Commission and the financing of __________. year ___ ___ ___ ___ ___ ___ (integer) line amount (A) the average amount of assets 01 rate% payment amount 0.00465 driver/(signature) (name) performer (first name, last name, phone number, email address), payment institutions properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ 10. Annex financial and capital market Commission 10.12.2014. regulatory arrangements no 297 must be submitted to the financial and capital market Commission and the review quarter next month 30. date survey of payment institutions calculate the financial and capital market Commission and the financing of __________. year ___ ___ ___ ___ ___ ___ (integer) line amount (A) Payment of the total duty 01, rate,% 0.05 payment Manager/(signature) (name) performer (first name, last name, phone number, email address) electronic money institutions properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ 11. Annex financial and capital market Commission 10.12.2014. regulatory arrangements no 297 must be submitted to the financial and capital market Commission and the review quarter next month 30. date report on electronic money institutions calculate the financial and capital market Commission and the financing of __________. year ___ ___ ___ ___ ___ ___ (integer) position position the rate amount% amount due (A) issuer Treasury 01 02 03 electronic money total 0.05 0.05 total payments total X X driver/(signature) (name) performer (first name, last name, phone number, e-mail address)