Financial and capital market Commission, the provisions of regulations No 115 in Riga 2014 11 June (financial and capital market Commission Council meeting Protocol No 22 p. 2)
With the authority of the persons exposure limit enforcement, regulations Issued under the provisions of the credit institutions act, article 43 of the third paragraph of article 50, third part and on the financial instruments market law 122. the second paragraph of article i. General questions 1. "with the authority of the persons exposure limit enforcement regulations" (hereinafter-the rules) determines the limits for exposure, this business about the procedure for determining and reporting the implementation of restrictions on the preparation and submission of the order. 2. The rules are binding on the Republic of Latvia registered credit institutions and those in the Republic of Latvia registered investment brokerage firms, which are binding on the European Parliament and Council Regulation (EC) no 575/2013 (26 June 2013) for the prudenciālaj requirements for credit institutions and investment firms, and amending Regulation (EC) No 648/2012 (hereafter referred to as the EU Regulation No. 575/2013) as laid down in the fourth paragraph large exposures restrictions. 3. the provisions of the law of credit institutions as regards the first subparagraph of article 43 and the financial instruments market law 122. referred to in the first subparagraph the exposure limit Authority respects the individual.
4. the terms used in the rules: 4.1 authority — EU credit institution Regulation No 575/2013 article 1 paragraph 1 of section a and investment brokerage company, which is binding on the EU Regulation No. 575/2013 as laid down in the fourth paragraph large exposures restrictions;
4.2. the persons related to the authority, the authority of the shareholders or members that have qualifying holdings in the institution, and the shareholders or members, natural persons, spouses, parents and children, the Council of the authority and the members of the Management Board, internal audit service manager, risk manager, compliance control of the operation and a public Inspector, that person's spouses, parents and children, as well as commercial companies in which these persons have significant interest; 4.3. the relevant capital — capital the EU Regulation No. 575/2013 4. Article 71 of the meaning of the paragraph, taking into account EU Regulation No 575/2013 article 494 of the transitional period laid down in the conditions. 5. The Authority shall establish and approve the Authority's exposure of persons carrying out the policy and procedures on the approval of these transactions and the persons responsible for risk management, quality management, savings and loss from exposures to persons associated with the institution, retirements, as well as the limits of the total of the exposures to the institution are related to each category of persons total 15 percent limit. 6. the authority shall establish and regularly review the Authority's exposure of persons carrying out the policy and procedures. 7. the authority shall respect the law of credit institutions article 43 first paragraph and financial instruments market law 122 in the first subparagraph of article specific persons associated with the institution's exposure limit, calculated in accordance with the requirements of this regulation. If, exceptionally, the exposure limit is exceeded, the authority shall immediately notify the financial and capital market Commission (hereinafter "Commission"), indicating the causes of excess and add a message to an action plan to restore compliance with the restriction that the deadlines agreed by the Commission.
II. persons associated with the institution's exposure value and exposure limits the performance calculation 8. With the authority of persons subject to the limitation of the exposure value is all persons associated with the institution of the total exposure, except for exposures to institutions, subsidiaries of the parent company and the parent company of the Authority's other subsidiary bodies, participation in the share capital of its subsidiary company in the capital and in which the institution's membership.
9. With the authority of the persons exposure value is determined in accordance with EU Regulation No. 575/2013 fourth, applying Commission regulations 19.12.2013. Regulation No 285 "the legislative provisions for European Parliament and Council Regulation (EU) no 575/2013 (26 June 2013) for the prudenciālaj requirements for credit institutions and investment firms, and amending Regulation (EC) No 648/2012 for the choice and the application of the transitional period" for options and transitional rules. 10. If the authority is related person shall provide a guarantee to the customer the authority, which is used as collateral for client transactions with the authority, the following guarantees shall be included with the authority of persons total exposures as indirect exposure. 11. Exposure limitation execution of calculated as persons associated with the institution's exposure totals to the appropriate equity.
III. Review of the procedure for the preparation and submission of

12. the authority shall prepare a "report on the authority of the persons exposure limit" in accordance with the provisions in the annex to this form. 13. Exposure limits the performance review the figures presented in whole euro or percentage with two decimal places. 14. In the report on related persons with the authority to limit exposures to related parties in the implementation of the following identifiers: 14.1. parties concerned code: 14.1.1. legal person code is the code of registration according to the international standard ISO 3166 ' and the name of the national area code: part 1: country codes "and the registration number of the relevant register (residents in the Republic of Latvia, non-resident, in the country concerned); 14.1.2. the code of a natural person's registration code according to international standard ISO 3166 ' and the name of the national area code: part 1: country codes "and ID code or similar code that allows to identify unequivocally the person concerned (residents in the Republic of Latvia, non-resident, in the country concerned); 14.2. the related persons of category: 01-shareholder or member of the authority, the authority of the shareholders or 02 — member-an individual's spouse, parents and children, 03-member of the Council of the authority, 04 — Authority Board Member, 05-another Executive, that is, the internal audit service's Manager, risk manager, compliance control of the operation and a company controller, 06-Council, Board members and other leading employee's spouse, parents and children, 07-other; 14.3. the name of a legal person or a natural person's name. 15. the authority shall prepare a "report on the authority of the persons exposure limit" of the State quarterly report last month last date and submitted to the Commission by a quarter following the 15th of the month. 16. the report shall be drawn up in accordance with the provisions of Commission regulations 14.10.2008 No 146 ' prepared statements electronically submit the legislative provisions ". 17. If the Commission finds that the report has been prepared in error, it will be announced in the report to the applicant. If the Commission has not indicated otherwise, corrected report shall be submitted not later than on the working day following notification of the existence of the error from the Commission. Financial and capital market Commission President k. name: the authorities of Zakuli annex financial and capital market Commission 11.06.2014. regulatory arrangements No. 115 "with the authority of the persons exposure limit enforcement regulations" code: must submit financial and capital market Commission four times a year, before 15 April, 15 July, 15. October and 15 January report on persons associated with the institution's exposure limit. year (reporting quarter) (eur) no PO box Identification of the related party exposure value in the related category of personal code Related name or name exposure value before savings provisions or value adjustments (-) the exposure value after the savings and value adjustments (6 + 10)% of the equity in accordance with the registration code registration number or personal code together (7 + 8 + 9) including active derivative instruments off-balance sheet items indirect exposures total 1 2 3 4 5 6 7 8 9 10 11 12 13