The Amendments "system Participant Portfolios Of Financial Instruments Reporting Regulations Provisions"

Original Language Title: Grozījumi "Sistēmas dalībnieku finanšu instrumentu portfeļu pārskatu sagatavošanas normatīvie noteikumi"

Subscribe to a Global-Regulation Premium Membership Today!

Key Benefits:

Subscribe Now for only USD$20 per month, or Get a Day Pass for only USD$4.99.
Financial and capital market Commission, the provisions of regulations No 217 Riga 2013 4. October (financial and capital market Commission Council meeting Protocol No. 37. p.) "The system amending financial instrument portfolio reporting regulations provisions" Issued under the Investor Protection Act, article 11, third subparagraph to make financial and capital market Commission on 20 May 2011 legislative regulations No. 79 "system participant portfolios of financial instruments reporting regulations regulations" (hereinafter-the rules) the following amendments: 1. Express provisions 3.2 as follows: "3.2. professional investor-client system that you have a Professional client or eligible counterparty status according to the law on the financial instruments market; ". 2. the provisions of point 5.1 replace the words "to other investors, which made it known that he is a professional investors" by the words "other professional investors". 3. Express the rule 7.5. point as follows: "assessment of system 7.5, the participant's portfolio of financial instruments financial instruments are taken on the basis of the market price of the financial instrument (value) for the quarter in question, on the last day of each month. The report includes the investor if the investor is the total amount with a positive market value. If the investor the total amount is negative, it shall not be included in the report. The total amount of the contribution for the purposes of this paragraph, be determined by summing all one investor's investments (both with positive market value and with a negative market value). " 4. To make rules 1, 2, and 3. a new wording. 5. the rules shall enter into force on January 1, 2014. Financial and capital market Commission Vice Chairman p. Birdie annex 1 financial and capital market Commission 04.10.2013. regulatory arrangements no 217 "system participant portfolios of financial instruments reporting regulations ' description of the XSD schema data attributes No 1. The name of the data format (*) values the attribute code element of the mother/i 1. Institutions code 3 (n) or (n) 6 authorities granted the FCMC code IestadesKod in the SD_INSTR_POR 2. Entries for the data fixation date 10 (x) international standard ISO 8601 date format: YYYY-MM-DD DatuDatum of SD_INSTR_POR 3. XML file creation date 10 (x) international standard ISO 8601 date format: YYYY-MM-DD IzveidesDatum of SD_INSTR_POR 4. XML file creation time 8 (x) international standard ISO 8601 time format: HH: MM: SS IzveidesLaik in SD_INSTR_POR 5. Fill in the e-mail address EMx@x.x Fillers or responsible for data in an XMl file in the ielas email address Email SD_INSTR_POR 6. Filler Max200 (x) Fillers or responsibility for the data in an XMl file in the ielas name Executor SD_INSTR_POR 7. Fill the phone no. Max200 (x) phone number format SD_INSTR_POR 8 PhoneNr. XSD file version 3 (x) fixed value depending on the version of the XSD file XSDVersij SD_INSTR_POR 9. xmlns: xsi-http://www.w3.org/2001/XMLSchema-instance xmlns: xsi SD_INSTR_POR 10. xsi: noNamespaceSchemaLocation, xsi: noNamespaceSchemaLocation SD_INSTR_POR URfktk_sdfipp_v1_0.xsd 2 No data elements. Name field data format (*) Element Element code number in the value of the parent element/i 2. Period element to SD_INSTR_POR 2.1. Month 1 (n) or (n) 2 Months number of 2.2. Contribution to the eligible investment around the element 2.2.1. The number of investors Max12 (n) the number of investors on the last day of the month (to the eligible contribution about) 2.2.2. Amount of investment (d) investment amount Max12 integers euro on the last date of the month (to the eligible contribution about) 2.3. Contribution over the amount of countervailable investment element 2.3.1. The number of investors Max12 (n) the number of investors on the last day of the month (over the size of investments eligible) 2.3.2. Amount of investment (d) investment amount Max12 integers euro on the last date of the month (over the size of investments eligible) * a = letter; x = letter, digit or symbol; d = decimal; n = digit annex 2 financial and capital market Commission 04.10.2013. regulatory arrangements no 217 "system participant portfolios of financial instruments reporting regulations provisions" annex 3 financial and capital market Commission 04.10.2013. regulatory arrangements no 217 "system participant portfolios of financial instruments reporting regulations provisions"

Related Laws