Advanced Search

Information On Remuneration, And Guaranteed Provision Of The Legislative Provisions

Original Language Title: Informācijas par garantēto atlīdzību apkopošanas un sniegšanas normatīvie noteikumi

Subscribe to a Global-Regulation Premium Membership Today!

Key Benefits:

Subscribe Now for only USD$40 per month.
Financial and capital market Commission, the provisions of regulations No 9 in 2013 on January 31 (financial and capital market Commission Council Protocol No 4 2. p.)
Information on remuneration, and guaranteed delivery rules, regulations Issued under the deposit guarantee law 13.1 the second paragraph of article i. General questions 1. "information on remuneration, and guaranteed delivery regulations" (hereinafter-the rules) determine the amount and the order in which the deposit-takers will collect and provide the financial and capital market Commission (hereinafter the Commission) for information on the guaranteed compensation. 2. The rules are binding on deposit-takers to apply the law on deposit guarantees. 3. the terms used in these rules shall comply with the law on deposit guarantees the use of the term.
II. Information on the amount of remuneration guaranteed deposit takers: 4 4.1 for each depositor, which guaranteed to be paid to the consideration of technical identifier that is unique in the symbol string. One depositor, which guaranteed to be paid to the remuneration may not be granted more than one identifier; 4.2. specify information for depositors, which guaranteed remuneration to be paid to, a category according to the Bank of Latvia 16.07.2009. Regulation No 40 "monetary financial institution balance reporting month" annex 1 "monthly balance report" (hereinafter: the monthly balance report) position codes. 5. Deposit-takers will collect the following information about a depositor, which guaranteed remuneration to be paid to and who is a natural person: 5.1. first and last name; 5.2. the code, if the natural person is resident or non-resident, you have the following code; 5.3. the date of birth, if the natural person is non-resident; 5.4. identity document number; 5.5. permanent residence address; 5.6. the permanent residence address country code according to the standard LVS EN ISO 3166-1:2007 6. Deposit takers will collect the following information about a depositor, which guaranteed remuneration to be paid to and which is a legal person: 6.1. name; 6.2. legal address; 6.3. unified registration number, if the legal person is resident; 6.4. registration number, if the legal person is non-resident; 6.5. legal address country code according to the standard LVS EN ISO 3166-1:2007.7. Deposit takers under the deposit guarantee law calculates and collects information about: 7.1 each depositor, which guaranteed to be paid to the fact that the guaranteed deposit amount; 7.2. each depositor, which guaranteed to be paid to the consideration payable in the amount of remuneration guaranteed. 8. This provision of the information specified in section 7 shall be indicated in lats in accordance with the Bank of Latvia exchange rate fixed deposit accession to the non-availability of the day specified in the request of the Commission or the day when the Commission sent a request for information on the guaranteed reward. 9. Deposit-takers to ensure that its accounting records or information systems at the end of the day is available in topical and at least five working days in this historical rule 5-7. the information identified in paragraph 1. 10. Deposit-takers these rules 5, 6, and 7.  the information specified in paragraph about depositors, which guaranteed remuneration in the following list summarizes these rules 1. the requirements set out in the annex. Deposit-takers will collect information electronically in Extensible Markup Language (XML) file format in accordance with the provisions of annex 2 contains sample and the Commission prepared an XSD (XML Schema Definition) schema that the Commission sends the deposit takers. Preparing XML files, deposit-takers will also prepare the end of the file (hash) using the SHA256 algorithm. Deposit-takers will ensure that the operation is automatically saved deposit takers, information system, for which activities are performed and audit trail data integrity is protected. 11. Deposit-takers for process control purposes shall also be a separate file with this rules 5, 6, and 7 the information specified in paragraph, including information on all depositors, including those savers who are not eligible for guaranteed consideration and for savers, who have at least one closed the account and deposit balance is less than or equal to 0.00. additional information shall be included in the classification, in the form of a reason for inclusion of the depositor is not in the list of the depositor , which guaranteed rewards and deposit takers will collect information in accordance with the provisions of paragraph 10. Classification of deposit-takers will create a free-form according to the purpose of these rules, which shall consist of not more than five symbols. Classifier value explanation of deposit-takers, shall be submitted to the Commission in a free format after the first request. 12. the information specified in paragraph 11 shall be prepared according to this provision, 3. the requirements set out in the annex, Extensible Markup Language (XML) file format in accordance with the provisions of the model shown in annex 4 and the Commission prepared an XSD (XML Schema Definition) schema that the Commission sends the deposit takers. Preparing XML files, deposit-takers will also prepare the end of the file (hash) using the SHA256 algorithm. Deposit-takers will ensure that the operation is automatically saved deposit takers, information system, for which activities are performed and audit trail data integrity is protected. 13. These rules 10, 11 and 12 in the form specified in paragraph 1 and the information collected in the amount of the deposit takers not later than the day after the accession to the non-availability of the deposit shall be submitted to the Commission in electronic form. 14. If the deposit takers finds that information about guaranteed that the Commission submitted to the non-availability of the deposit in the event of accession, the need to make a clarification, deposit-takers to immediately inform the Commission thereof and shall submit the information specified in accordance with paragraph 10 of these regulations, including information only for those savers, which information is specified or added. If necessary adjust the 11 and 12 the information specified in paragraph 1, then the deposit takers shall immediately inform the Commission and submit the information specified in accordance with the provisions of paragraphs 11 and 12. 15. If the Commission finds that the information provided on the deposit takers for guaranteed consideration does not match the current situation of the non-availability of the deposit accession or the request of the Commission at the end of the day, the Commission shall inform the deposit takers and would one day provide the Commission with the information specified in accordance with the provisions of paragraph 10. 16. the Commission by monitoring compliance with these rules, you can make on-site (on-site) inspections and remote (off-site) and may require a deposit takers for these rules 10, 11 and 12 in the form specified in paragraph 1 and the information collected in the amount of the guaranteed compensation to submit one day electronically on the State of the request at the end of the day. 17. the deposit takers, which guaranteed the number of beneficiaries is less than four hundred, not to apply the provisions of paragraphs 9-16. Such a deposit-takers in 5, 6 and 7 above, the information collected in an electronic form on his technological possibilities in the appropriate format. If the guaranteed compensation cost over the need to make changes to the information provided, then they shall draw up and submit to the Commission, including the information only for those savers, which information is specified or added.
IV. final question 18. provisions shall enter into force on the 01.04.2013.19. the entry into force of the Commission terminated October 29. legislative provisions no 136 "information on remuneration, and guaranteed provision of the legislative provisions". Financial and capital market Commission President k. Zakuli States annex 1 financial and capital market Commission 31.01.2013. regulatory arrangements no 9 "for guaranteed consideration of information collection and the legislative provisions to provide" information on the guaranteed compensation collection and reporting requirements

Field name field data format (*) field value field values category Element name element of the mother/i 1. unique identification of Depositors Max40 (x) the internal identifier of the authority identifier 2AA. Depositors (natural persons) a word or words in the word/Max200 (x) (i). A separator between words-space text 2b. Depositors (natural person) the last name or last name in the last name/Max200 (x) (i). A separator between words-space text 2 c. Depositors (natural persons resident or non-resident) identification document number Max200 (x) identification number code 2d. Depositors (natural persons resident or non-resident, you have the following code) identification (people) code Max200 (x) a personal identification code code 2e. Depositors (natural person-non-resident) date of birth YYYY-MM-DD in the International Standard ISO 8601 date format: YYYY-MM-DD date 3a. Depositor (legal person) name Max200 (x) separator between words-space text 3b. Depositor (legal person) registration number Max200 (x) legal entity registration number public register code 4. Depositors the permanent place of residence or registered office in the country code 2 (a) in accordance with the standard LVS EN ISO 3166-1:2007 code or 5. Depositors the permanent place of residence or registered office in the city or municipality Max200 (a) city/county name or 6. permanent place of residence of the Depositor or of a legal person the rest of the address part of the Max200 (x) the rest of the address-street House, apartment, index or other text or 7. Depositors category according to the monthly balance sheet position codes 4 (n) 3203 = public non-financial corporations noguldījumi3204 = private non-financial corporations deposits 3207 = non-profit institutions serving Households-3221 = household deposits deposits 3251 = other financial intermediaries and financial deposits = 3252 palīgsabiedrīb insurance company and pension fund deposits code 8. Guaranteed deposit amount, in LCY Max12 (d) guaranteed deposit amount , in LCY Figure 9. Guaranteed remuneration amount in LCY Max7 (d) the amount of remuneration guaranteed in dollars 10. Guaranteed deposit amount in LCY of the situation five working days before the date on which the report's (d) guaranteed Max12 deposit amount in LCY of the situation five working days before the date on which the report's number a = letter; x = letter, digit or symbol; d = decimal; n = numeric.     Annex 2 financial and capital market Commission 31.01.2013. regulatory arrangements no 9 "for guaranteed consideration of information collection and the legislative provisions to provide" a sample XML file IBB_345678 Robert Buchanan AT1234567 2013-12-31 AT8912345 2015-09-20 290281-11753                                                                                                                                    LV                                                      Rīga                                                      Tadaiķu 55-66, LV-1111                                                                                            3207                           5000.00                           5000.00                           6000.10                          
                          US-ABCLRC                                                                  SIA XMIA                                        UK5212584222                                                                                             LV                                                      Rīga                                                      Bauskas 300-10                                                                                            3204                           255000.00                           70280.40                           300000.00                               Annex 3 financial and capital market Commission 31.01.2013. regulatory arrangements no 9 "for guaranteed consideration of information collection and the legislative provisions to provide" information on the guaranteed compensation collection and reporting requirements

Field name field data format (*) field value field values category Element name element of the mother/i 1. unique identification of Depositors Max40 (x) the internal identifier of the authority identifier 2AA. Depositors (natural persons) a word or words in the word/Max200 (x) (i). A separator between words-space text 2b. Depositors (natural person) the last name or last name in the last name/Max200 (x) (i). A separator between words-space text 2 c. Depositors (natural persons resident or non-resident) identification document number Max200 (x) identification number code 2d. Depositors (natural persons resident or non-resident, you have the following code) identification (people) code Max200 (x) a personal identification code code 2e. Depositors (natural person-non-resident) date of birth YYYY-MM-DD in the International Standard ISO 8601 date format: YYYY-MM-DD date 3a. Depositor (legal person) name Max200 (x) separator between words-space text 3b. Depositor (legal person) registration number Max200 (x) legal entity registration number public register code 4. Depositors the permanent place of residence or registered office in the country code 2 (a) in accordance with the standard LVS EN ISO 3166-1:2007 code or 5. Depositors the permanent place of residence or registered office in the city or municipality Max200 (a) city/county name or 6. permanent place of residence of the Depositor or of a legal person the rest of the address part of the Max200 (x) the rest of the address-street House, apartment, index or other text or 7. Depositors category according to the monthly balance sheet position codes (n) 4 position number code MBPS 8. Guaranteed deposit amount, in LCY Max12 (d), the guaranteed deposit amount in LCY Figure 9. Guaranteed amount, in LCY, of the consideration (d) remuneration guaranteed Max7 amount, in LCY figure 10. Guaranteed deposit amount in LCY of the situation five working days before the date on which the report's (d) guaranteed Max12 deposit amount in LCY of the situation five working days before the date on which the report will not include the figure 11.-the depositor of the guaranteed list the reason Max5 (x) Classifier, indicating why the depositor depositors are not included in the list of core text * a = letter; x = letter, digit or symbol; d = decimal; n = numeric.     4. the annex to the financial and capital market Commission 31.01.2013. regulatory arrangements no 9 "for guaranteed consideration of information collection and the legislative provisions to provide" a sample XML file IBB_345678 Robert Buchanan AT1234567 2013-12-31 AT8912345 2015-09-20 290281-11753                                                                                                                                    LV                                                      Rīga                                                      Tadaiķu 55-66, LV-1111                                                                                            3207                           5000.00                           5000.00                           6000.10                          
                          US-ABCLRC                                                                  SIA XMIA                                        UK5212584222                                                                                             LV                                                      Rīga                                                      Bauskas 300-10                                                                                            3204                           255000.00                           70280.40                           300000.00                           AB123