The Securities Reporting Rules

Original Language Title: Vērtspapīru pārskatu sagatavošanas noteikumi

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The Bank of Latvia Regulation No 116 in Riga on 11 July 2013 securities reporting rules Issued in accordance with the law "on banking" 39. the second paragraph of article i. General questions 1. determines the order in which the credit institution registered in the Republic of Latvia, the country registered a branch of a credit institution registered in the Republic of Latvia (hereinafter credit institution), and the provisions referred to in paragraph 7, the investment brokerage company (hereinafter investment brokerage company) shall prepare and submit to the Latvian Bank securities accounts (hereinafter reports) as well as the submission of the report. 2. The terms used in the following terms: 2.1. emissions-a collection of securities, in which all securities are equal rights; 2.2. investment securities certificate-attesting to the investor's participation in the investment fund and from the ensuing rights of participation; 2.3. capital securities – shares and equivalent securities, providing participation in the capital of a capital company, as well as investment fund, t.sk. money market funds, investment certificates; 2.4. Security – private law document, certifying documents of the issuer's obligations to the owner, not a change in the rights attaching to it, or certifies the holder's participation. 3. Other term usage complies with the provisions of the Bank of Latvia, which determines the monetary financial institutions ' balance-sheet of the month "preparation and submission procedures, the explanation of these terms. 4. the information provided in the reports required for the balance of payments and international investment position statistics, financial accounts statistics and other financial intermediaries statistics according to international standards and the European Union, t.sk. The European Central bank, the requirements of the law. 5. the information provided in the reports the Bank of Latvia can pass the law "on banking" article 40, second paragraph, the said authorities, pursuant to the said requirements laid down in the law.
II. report preparation and submission procedures and deadlines 6. a credit institution shall prepare the following reports: 6.1 "ISIN code of securities with the monthly review" (annex 1); 6.2. "ISIN code of securities without the monthly review" (annex 2); 6.3. "-owned equity quarterly report (according to the balance sheet of the monetary financial institutions ' balance-sheet of the month" and 1700 0700. position) "(annex 3). 7. investment brokerage company, which, in accordance with the laws of the Republic of Latvia in the Republic of Latvia is entitled to provide investment services and which has received the license for holding financial instruments (investment requirement), prepare the following reports: 7.1 "ISIN code of securities with the monthly review" (annex 1); 7.2. "ISIN code of securities without the monthly review" (annex 2). 8. Credit institutions and investment firms ' securities code ISIN month review "and" ISIN code of securities without the monthly review "preparing for the calendar month, and shall submit to the Bank of Latvia by the fifth working day after the end of the reference month. 9. the credit institution "owned equity quarterly report (according to the balance sheet of the monetary financial institutions ' balance-sheet of the month" and 1700 0700. position) "draw up and submit to the Bank of Latvia on the following quarterly: 1st quarter (January 1 – March 31), Q2 (April 1-June 30), 3rd quarter (July 1-September 30) and quarter 4 (1 October to 31 December). 10. in paragraph 9 of these regulations reports referred to the credit institution shall submit to the Bank the following periods of time: 1. quarterly 10.1-until the fifth day of may; 10.2. for the quarter, up to 2 august the fifth working day; 10.3. for the quarter, to 3 November the fifth working day; 10.4. for the quarter, up to 4 February the fifth working day. 11. the reports shall be submitted to the Bank of Latvia in electronic form according to the rules of the Bank of Latvia, establishing procedures for the electronic exchange of information with the Bank of Latvia.
III. Securities with an ISIN code "monthly review" 12. filling order "with the securities code ISIN monthly report" presented information on securities, which the National Association of participants numbering agency or the Governor assigned by the international securities identification number (International Securities Identification Number ISIN code; hereinafter) in accordance with the international standard ISO 6166 "ISIN code". 13. the report in part 1 of "securities balances presented information on balance sheet assets, as indicated in the financial instruments account, t.sk. credit institutions or investment firms, existing customer securities accounts in the last date of the month. 14. the report "in part 2 of the securities by non-residents dispose of their performance" of the characteristics of the securities to which part 1 of the report under the heading "the issuer's country code is" code is not shown "en". 15. Credit institutions shall report not showing the securities that support participation in associated or related company. 16. a credit institution specified on the report in its securities owned by the "carrying amount (in euro)" and "the product of the total number of" meet "monetary financial institutions of the monthly balance report and 0600 0500.." position.
IV. "the securities without the ISIN code of the monthly review" 17. filling order "without the ISIN code of securities report of the month ' displays information about those indicated under assets in the balance sheet, as well as the financial instruments account, t.sk. credit institutions or investment firms, existing customer securities in reviewed the last date for which information is not included in the "securities with ISIN codes monthly report '. 18. a credit institution shall not be presented in the report of the securities that support participation in associated or related company. 19. a credit institution specified on the report in its securities owned by the "carrying amount (in euro)" and "the product of the total number of" meet "monetary financial institutions of the monthly balance report and 0600 0500.." position.
V. "owned equity quarterly report (according to the balance sheet of the monetary financial institutions ' balance-sheet of the month" and 1700 0700. position) "20." filling order owned equity quarterly report (according to the balance sheet of the monetary financial institutions ' balance-sheet of the month "and 1700 0700. position)" credit institution presented information about the securities that support participation in associated and affiliated societies report the last date of the quarter. 21. the reference position "book value (euro)" and "the product of the total number of" meet the monetary financial institutions ' balance-sheet of the month "and 1700 0700. position.
Vi. Review of the procedure for filling the position

22. Under the heading "ISIN code" presented the 12 character code securities in accordance with the international standard ISO 6166 "ISIN code" assigned by the Association of national numbering agencies or members of the trustee. 23. Under the heading "the issuer's country code is" presented to the issuer of the securities code of residence in accordance with the international standard ISO 3166 "countries and their territorial breakdown unit name code". If the issuer of the emissions made by other companies, produce emissions of leverage in the beneficiary's country code. 24. Under the heading "sector of the issuer code" presented the following issuer's sector code (if the issuer of the emissions made by other companies, produce emissions inspected of leverage in the sector code; t.sk. Trust Fund, money market funds and pension funds, securities issued by the issuer sector affiliation is determined by fund type): 24.1. non-financial corporations s.11 ";" 24.2. the NCBs ' s. 121 "; 24.3. the credit institutions ' s. 1221 "; 15.2. money market funds – "s. 1222"; 15.2. credit unions ' s. 1222 "; 24.6. investment funds except money market funds, "s. 1231"; 24.7. other financial intermediaries, except insurance corporations and pension funds, "s. 1232"; 15.4. financial-palīgsabiedrīb "s. 124"; 15.5. insurance corporations and pension funds-"S". 125 "; 24.10. central Governments ' s.1311 '; 24.11. Provincial Government (a separate institutional unit that is at a level below that of Central Government and above that of local government institutional units level, some of the functions of the Government, except for the administration of social security funds. State Government shall include the national regulatory authorities, which are controlled and mainly financed by the provincial government and which does not exceed the competence of provincial economic territory) – "s.1312"; 24.12. local governments – "s.1313"; 24.13. the national statutory pension scheme unfunded products – "s.1314"; 24.14. households ' S. 14 "; 24.15. household represent associations and foundations – "S. 15". 25. Under the heading "Issuer name" show full name of the issuer of the securities. If the issuer of the emissions made by other companies, produce emissions of leverage in the name of the beneficiary. 26. Under the heading "issue date" shows the date on which the securities issued. If done papildemisij, presented the original issue date. 27. Under the heading "deletion date" shows the maturity of debt securities. 28. Under the heading "code" of the Instrument displays the following security code: 28.1. short-term debt securities – f. 331 "; 28.2. long-term debt securities – f. 332 "; 28.3. quoted shares (shares that are included in the regulated markets) – f. 511 "; 28.4. unquoted shares (shares that are not included in the regulated markets) – f. 512 "; 28.5. other equity securities (equity securities, other than shares, the investment fund, t.sk. money market funds, investment certificates)-"f. 513"; 28.6. investment funds except money market funds, investment certificates – f. 521 "; 28.7. money market fund investment certificates – f. 522 ". 29. Under the heading "currency code" presentation of securities, currency code according to international standard ISO 4217, "codes for currencies and resources". 30. Under the heading "denomination" presented to the par value of a security. 31. Under the heading "coupon rate (%)" presented debt securities coupon rate as a percentage of the last review date. 32. Under the heading "owner's country code is" presented to the securities owner's residence code in accordance with the international standard ISO 3166 "countries and their territorial breakdown unit name code": 32.1. clients held securities presented the country code of the customer; 32.2. the nominal financial instruments account in securities, which are not possible to show that the securities belong to, displays the nominal financial instruments account holder country code; 32.3. reverse repo securities from the counterparty presented the country code. 33. Under the heading "owner sector" presented by its owner, which country code is given under the heading "Owner", the country code sector code in accordance with the provisions of section 24.1-24.15.. The investment fund, t.sk. money market funds and pension funds, the portfolio contained securities belonging to the owner of the sector is determined by the type of Fund. 34. Under the heading "Owner identification code" presented by the owner or the nominal holder of the financial instrument account-resident-identification code: 34.1. the credit institution and the money market fund, the relevant code (MFIs) according to "the Republic of Latvia to the list of monetary financial institutions", which is maintained and published by the Bank of Latvia; 21.3. the investment brokerage company – company registration number; 21.3. investment funds except money market funds, the relevant code under "investment fund of the Republic of Latvia to the list" which is maintained and published by the Bank of Latvia. 35. Under the heading "additional information" presented to the transaction or through a representative code: 21.8. repo securities involved in "R"; 35.2. reverse repo transactions involved (for) securities as "RR"; 35.3. basic financial instrument existing securities accounts – "N"; 35.4. involved in the repo and rated financial instruments accounts existing securities-"RN"; 22.1. reverse repo transactions involved (for) and rated financial instruments accounts existing securities ' RRNA ". 36. Under the heading "book value (euro)" presented one carrying amount of securities in euro to eight decimal places, the conversion to the euro in accordance with the accounting used in foreign exchange rate on the last day of the reporting period. This heading displays the totals under the heading "checksum". 37. Under the heading "count" shows the individual owner's securities account. This heading displays the totals under the heading "checksum". 38. Under the heading "total issued amount" displays the total amount of securities issued by emission of currency. 39. Under the heading "the issuer's equity" presented in the issuer's equity (the difference between assets and liabilities) amount of emissions. 40. Under the heading "the issuer's profit or loss for the financial year" presented in the issuer's profit or loss incurred during the period from the beginning of the financial year to review the quarter's last date, currency of the issue. 41. Under the heading "NACE code of the issuer ' issuer is presented in the statistical classification of economic activities in the European Community (NACE Rev. 2) a four-digit code. 42. Under the heading "registration number" of the issuer of the issuer, which are presented under the heading "the issuer's country code is" show code "EN", the registration number of the Republic of Latvia enterprise register in the commercial register.
VII. Closing questions 43. Surveys on December 2013 apply the Bank of Latvia on 10 September 2009. Regulation No 43 "securities reporting rules". The report referred to in this paragraph shall be submitted to the Bank of Latvia until 2014 8 January. 44. Reports about 2013 quarter 4 apply to the Bank of Latvia on 10 September 2009. Regulation No 43 "securities reporting rules". The report referred to in this paragraph shall be submitted to the Bank of Latvia until 2014 7 February. 45. Be declared unenforceable by the Bank of Latvia on 10 September 2009. Regulation No 43 "securities reporting rules" (Latvian journal, 2009, Nr. 152). 46. the provisions shall enter into force on January 1, 2014. The Bank of Latvia President i. Rimšēvič in annex 1 the Bank of Latvia on 11 July 2013 the Regulation No. 116 securities statement the month Code ISIN VSPARK 27002060 20 _____. year _____ _____ _____ credit institution or investment firm or credit institution code name investment brokerage company registration number address part 1. Balances of securities no PO box Code ISIN issuer country code issue date of the owner's country code sector code of the owner, the owner's identification code additional carrying amount (eur) number 1 2 3 4 5 6 7 8 9 10 checksum VSPARK 27002060 (continued) part 2. Characteristics of non-resident securities code ISIN Issuer name the issuer's sector code code Nominal-value of the Instrument by the currency code on the maturity date coupon rate (%) 1 2 3 4 5 6 7 8 performer fill date (first name, last name; phone number) of the Bank of Latvia President i. Rimšēvič in annex 2 of the Bank of Latvia on 11 July 2013 the Regulation No. 116 securities without the ISIN code is VSPARK 27002061 monthly report 20 _____. gada _______________

  A credit institution or investment firm or credit institution code name investment brokerage company registration number address no PO box The issuer's name issuer's country code is the code of the issuer sector emission date maturity date of the Instrument code currency code 1 2 3 4 5 6 7 8 par coupon rate (%) owner's country code sector code of the owner the owner's identification code additional carrying amount (eur) number 9 10 11 12 13 14 15 16 checksum performer Filling date (first name, last name; phone number) of the Bank of Latvia President i. Rimšēvič in annex 3 of the Bank of Latvia on 11 July 2013 the Regulation No. 116-owned equity quarterly report (according to the monetary financial institutions ' balance-sheet of the month "and 1700 0700.) VSPARK 27002062 position of 20 _____. year __. quarter credit institutions or investment firms or credit institution code name investment brokerage company registration number address no PO box The ISIN code of the issuer the issuer's name issuer country code sector code tool code currency code 1 2 3 4 5 6 inventory value (in euros) total amount issued by the issuer of the issuer's equity profit or loss for the financial year of the issuer, the issuer's NACE code number 7 8 9 10 11 12 13 14 checksum x x x x x the artist completed (name; phone number), the President of the Bank of Latvia is Rimšēvič.

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