Financial and capital market Commission, the provisions of regulations No 138 in Riga on 17 august 2016 (financial and capital market Commission Council meeting Protocol No 27 3. p.)
The amendments to the "license by credit institutions and credit unions for the activity of issuing individual credit institutions and credit unions regulatory authorisation transaction, document harmonization and reporting regulations regulations issued pursuant to the financial and capital market Commission of the law article 7, first paragraph, point 1, article 13 of the law of credit institutions, the fourth part of the third subparagraph of article 50 and articles 57 1.1 part, credit unions Act, article 9, first subparagraph, and article 11 of the first and the second part to make financial and capital market Commission of 25 September 2009, the regulations Regulation No 112 "license 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 of the financial and capital market Commission (hereinafter the Commission) issued a license (permission)" with the words "are provided with a license (permission)". 2. To replace the words "in paragraph 2.2 the Commission" with the words "financial and capital market Commission (hereinafter the Commission)". 3. Make the following paragraph 2.5.3: ' ' 2.5.3. a credit institution's Chairman of the Board, the members of the Executive Board, the President of the Council, the members of the Council, Director of risk, for the control of compliance of activity of the person responsible, the internal audit service, the head of criminal money laundering and terrorist financing prevention requirements of the person responsible, the foreign branch of a credit institution or branch of a credit institution in another Member State, the head of prokūrist, the company's Comptroller nominee or credit unions was the Chairman of the Management Board , the members of the Executive Board, the President of the Council, the members of the Council, the Commission and candidate members (hereinafter officials); ' '. 4. Replace the words "in paragraph 6.8 of the person responsible for the control of compliance of operations" with the words "for the control of compliance of activity of the person responsible for the crime of money laundering and terrorist financing prevention requirements of the controller, the controller of the company." 5. To replace the words "in paragraph 10.1 of the person responsible for the control of compliance of operations" with the words "for the control of compliance of activity of the person responsible for the crime of money laundering and terrorist financing prevention requirements of the person responsible." 6. Replace the words "in paragraph 15.9 society's Chairman of the Management Board, the members of the Management Board and head of internal audit service" with the words "the Chairman of the Management Board of the company, the members of the Executive Board, the President of the Council, the members of the Council, the Commission and the members". 7. Replace the words "in paragraph 17.1. the internal audit service and the driver" with the words "audit" of the Commission and its President. 8. Supplement with 17.5 points as follows: ' ' 17.5. unusual and suspicious financial transactions, identification procedures. ' ' 9. To supplement the provisions under paragraph 22.2 22.1. – the following: "national competent authorities 35.5. the issuing of a document showing that the applicant is not the person of the officer (non-residents only): 35.5.1. who is convicted of an intentional criminal offence, including the abuse of bankruptcy (apart from deleting or removing the criminal record); 35.5.2. against whom criminal proceedings for the purpose of committing a criminal offence, even if the termination of the criminal proceedings against the person ended on an reabilitējoš basis; 35.6. information on officials of the credit institution, the distribution of the capacity of each candidate's job duties, if the person takes or after election to take in several posts at the same time; 22.2. the information on the credit institution or of the members of the Executive Board of the Council on the distribution of function after the election of a candidate or officials of election; 22.2. the officials of the applicant's proof of authorization to the processing of personal data: 35.8.1. significant credit institutions supervised officers candidates – this rule 11 and 16; 35.8.2. less significant in supervised credit institutions and credit unions officials candidates – this provision of the annex 16. " 10. To make the first sentence of paragraph 35.1 as follows: "If the changes to the credit institution 35.1 Council has been held, one or more of the Council members leaving the posts, except when at the same time being reduced to credit institutions the statutory number of members of the Governing Council, the credit institution shall submit to the Commission the provisions referred to in paragraph 35 of the information and documents on those members of the Council that are elected." 11. Make 37.4 points as follows: "If the Commission is 37.4 submitted these provisions annexes II, III, IV, VI, X, XI and XII as referred to in chapter license credit or credit unions to carry out the activity or individual credit institutions or credit unions regulatory activities of authorization, a credit institution (11-16) and credit unions (annex 16) persons concerned also submit proof of authorization to the processing of personal data." 12. Supplement with 46.1 points as follows: "the Commission will issue a licence 46.1 within three working days from the date of the credit or credit unions received decision on its registration in the register of the company." 13. To supplement the rules by 53.1 points as follows: "53.1 credit unions through amendments to the provisions set out in paragraph 15.4. document, within 10 working days of approval of the amendment shall submit it to the Commission." 14. To supplement the provisions of Annex 16 to the following: "4. the annex to the financial and capital market Commission 25.09.2009. Regulation No. 112 laws, protection of personal data processing of personal data, the purpose and legal basis of all the personal data to be submitted to the financial and capital market Commission, the need to finance and capital market Commission within the supervisory functions to assess the conformity of the law of credit institutions, individuals and credit unions the provisions of the Act. The transfer of personal data by signing this receipt, the person gives its consent to the financial and capital market Commission's data processing. If the person refuses to sign the receipt, it is considered that a person does not agree with the financial and capital market Commission's data processing, and it prevents the financial and capital market Commission to examine the person of the documents presented and the financial and capital market Commission addressed the request. DISCLOSURE of personal data the personal data submitted by the financial and capital market Commission has the right to express the law of credit institutions, and article 111 110.1 and financial and capital market Commission of the law article 7, first paragraph, point 8 of the cases, as well as judicial authorities according to their laws governing rights to require financial and capital market Commission of the following information. The applicable retention PERIOD for financial and capital market Commission stores the personal data submitted by 10 years after the liquidation of the operator. Applicable data protection and the data controller in financial and capital market Commission as a data controller in Regulation No 2016/679 article 4 within the meaning of point 8 is responsible for the processing of personal data pursuant to Regulation No 2016/679 of the procedures laid down. Rights of the data subject Person (data subject whose data are carried out in the financial and capital market Commission) have the right to apply to the financial and capital market Commission, for information about yourself and your submitted data processing on the data processing purpose. Contact person (data subject whose data are carried out in the financial and capital market Commission) have questions or complaints about the data processing process, it is entitled to turn to the financial and capital market Commission (tel.  6777 4800; e-mail: fktk@fktk.lv). 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 may be disclosed in the cases specified in that certificate.
First name, last name, signature place, date "* of the European Parliament and of the Council of 27 April 2016. Regulation No. 2016/679 on the protection of individuals with regard to the processing of personal data and on the free movement of such data and repealing Directive 95/46/EC. Financial and capital market Commission President p. Bird