Financial and capital market Commission, the provisions of regulations No 95 in Riga on 28 April 2012 (financial and capital market Commission Council meeting Protocol No 18. p.) The legislative provisions on the procedures for the reporting of information on transactions with financial instruments Issued in accordance with the financial instruments market law article fourth 133.6 i. General questions 1. "the legislative provisions on the procedures for the reporting of information on transactions with financial instruments (hereinafter the rules) establish procedures for credit institutions and investment firms report information on transactions with financial instruments. 2. The rules are binding on the Republic of Latvia registered credit institutions and investment firms that provide investment services in Latvia, credit institutions established in other Member States and investment brokerage firm affiliates, who provide investment services in the Republic of Latvia, the Republic of Latvia registered foreign branches of credit institutions that provide investment services in the Republic of Latvia (hereinafter together – a market). 3. transaction within the meaning of this provision is a financial instrument buying and selling by the market operator: 3.1 on your customer's behalf or for its own account; 3.2. the customer's name on the customer's invoice. 4. the operator is not required to notify the European Commission 10.08.2006. No 1287/2006 of the European Parliament and of the Council Directive 2004/39/EC as regards the obligation for investment firms to take accounting, transaction reporting, market transparency, admission of financial instruments to trading, and defined terms in this directive, referred to in article 5 operations. 5. the terms used in these rules shall comply with the law on the financial instruments market in terms of use. II. The transactions for which you want to make a statement, and a statement of the information contained in the content and format

6. The market operator shall report to the financial and capital market Commission (hereinafter the Commission) on all transactions concluded with the following financial instruments: 6.1 all types to trading on a regulated market financial instruments that are identifiable with the ISIN (International Securities Identifying Number) code or an alternative instrument identifier (hereinafter RT financial instruments); 6.2. derivative instruments not listed on the regulated market, but are related to the RT financial instruments (derivatives of this value depends on the RT or RT financial instrument is a derivative of the base asset) (OTC derivatives). 7. The operator is not required to report transactions with this provision mentioned in paragraph 6.2. derivatives, whose value is tied to a basket of financial instruments, RT, or index. 8. The market operator shall notify the Commission of all the financial instruments concluded transactions regardless of whether the transaction is concluded on a regulated market, an MTF or a regulated market outside, if these rules are determined by the reporting obligations on these instruments. 9. If the market participant does not have the ability to determine whether a financial instrument or its underlying asset (a related financial instrument) are included in the regulated market, the market operator also reported on these financial instruments. 10. For transactions with financial instruments reported that players who executed the order (market-facing investment firms). The operator is not required to report transactions with financial instruments, if the market participant does not participate in the execution of the order, that is, if the market operator forwards the customer's order execution to another body (order routing), or if the operator client even has entered into a transaction and the market operator is involved in the transaction as the client agent (has not fulfilled the customer's order), but only do business accounts as account holder. 11. Every transaction consists of the buying and selling parties. On each side of the transaction messages separately. Accordingly, the operator shall report the sales side of the business, if it's on behalf of a client or sell financial instruments on the purchase side of the transaction, if it's on your customer's behalf or buy financial instruments, or both on the business side of the purchase and sales side, if the market participant is involved in the transaction as both a seller and a buyer (such as acting as an agent for two credit institutions customers). 12. The notice of each transaction, the following information (depending on the type of financial instruments): 12.1. market participants the BIC (Bank Identifier Code) code (market notification provider identifier); 12.2. date of the transaction; 12.3. transaction time after time in Latvia; 12.4. indicate whether it is a purchase or sale transaction (purchase or sale, ID); 12.5. indication whether the transaction was carried out on behalf of the operator, or the customer's behalf (business category of the operator); 12.6. financial instruments with which concluded transaction identifier; 12.7. the price of the financial instrument that sealed the deal; 12.8. the currency in which the price is expressed; 12.9. the quantity of transactions in financial instruments; 12.10. the counterparty; 12.11. unique customer identification number (client ID); 12.12. the business place (regulated market, multilateral trading system, transactions outside regulated market); 12.13. the unique transaction identification number (if the market operator notifies both the purchase and sale transaction, each party to the transaction assigns your unique identification number). 13. Preparing the statement of transactions in financial instruments, the market operator used this provision in annex 1 or 2 the specified format for the relevant information. 14. in the event of the cancellation of the transaction the market operator shall send the Commission a statement of the transaction. Transaction cancellation notification: 14.1. market BIC (Bank Identifier Code) code (market notification provider identifier); 14.2. a unique transaction identification number; 14.3. of the financial instrument or related (base) RT financial instrument identifier; 14.4. date of the transaction; 14.5. indication of the reason for the cancellation (canceled transaction or communication had previously sent in error). 15. when preparing a statement of revocation of the transaction, market participants used this provision in annex 3 the format of the information. 16. Notification of the transaction in the case of market correction first sends a notice of revocation of a particular transaction (using the rules specified in annex 3 the format of the information), and then immediately sends a particular transaction again the correct statement (using 1 or 2 of these regulations specified in the relevant annex information format). Correction of the notice of the transaction the transaction assigns a new unique transaction identification number. III. Information on transactions with financial instruments transmission procedure 17. Market no later than the working day at noon. 16.30 electronically in Extensible Markup Language (XML) file format in accordance with the Commission prepared an XSD (XML Schema Definition) schema, forward to the Commission information on the previous working day concluded transactions in financial instruments. 18. Market information on transactions in financial instruments shall be made by e-mail, using a data reporting system (DZ), whose internet address is https://dati.fktk.lv. 19. the Detailed arrangements for the ship (t.sk. repealed and corrected) information on transactions with financial instruments, fixed or in the instructions for use, or available in a. 20. Market financial instruments market law may be delegated to information about transactions reporting obligations to a third party. 21. the reporting obligation in the event of a market fully responsible for that third party reports on market participants concluded transactions in financial instruments according to the requirements of this regulation. 22. If the market participant or a third party of its independent reasons encountered technical problems that can prevent the transmission of information (loading) or by the market operator or third party shall immediately inform the Commission and the Commission shall agree with the other relay or sending. IV. using EITHER the

23. The right to send (download) is the Commission registered a market participant or user. Registered users may become the only market participant specified natural persons. 24. NEITHER the user registration, information about EITHER of the users editing and user rights of cancellation in accordance with the provisions of Commission regulations regulations 14.10.2008 No 146 ' prepared statements electronically submit the legislative provisions ". 25. The market operator of the physical person who will report to the Commission information relating to transactions in financial instruments means immediately, as soon as the provisions referred to in paragraph 2, the operator argues obliged under these regulations to report information about the transactions. If market participants would in an individual transaction reporting obligations of the Commission in the performance is already a registered user, EITHER a new application or user registration is not required to submit to the Commission. V. closing question 26. entry into force of this provision, the effect of losing Commission 16.11.2007 legislative provisions No. 156 "the legislative provisions on the procedures for the reporting of information on transactions with the countries of the European economic area the regulated markets of financial instruments". Financial and capital market Commission President k. Zakuli States annex 1 financial and capital market Commission 28.04.2012. Regulation No. 95 normative statement of transactions with financial instruments the RT information and its field name format field data formāts1 field values field values in the category field type (M, O) 2 players (TD) in the notice provider identifier 11 (x) ISO 9362 — Swift BIC code identifier assigned to the transaction date will be 4 M (n)-2 (n)-2 (n) ISO 8601 date format : YYYY-MM-DD date M transaction time 2 (n): (n) 2:2 (n) ISO-8601 time format: HH: MM: SS time M sale/purchase ID 1 (a) (B) = the purchase; S = sale code reviewer Transaction category M 1 (a) P = TD on your customer's behalf or for its own account; A = TD on behalf of the client on the client's invoice code M ID 2 financial instruments (a) 9 (x) 1 (n) ISO 6166-ISIN code identifier M or Alternative instrument identifier (AI) stock exchange code 4 AI (x) ISO 10383-MIC code assigned swift code assigned code stock M, Max 12 (x) code M AII derivative veids3 1 (a) O = Options; F = future identifier M put/Call identifikators4 1 (a) P = Pu; C = Call; F = future identifier M expiration/performance/settlement date 4 (n)-2 (n)-2 (n) ISO 8601 date format: YYYY-MM-DD date M performance price (strike price) Max (d) Figure 19 M price Max19 (d) Figure 3 M price currency (a) ISO 4217 currency code for the code – M quantity Max19 (d) Figure M counterparty 11 (x) ISO 9362 — Swift BIC code assigned code M 4 (x) ISO 10383-MIC code assigned swift M 40 (x) client code (a unique customer code TD) M client ID 11 (x) ISO 9362 — Swift BIC code assigned code M (x) customer Max40 code (a unique customer code TD) transaction place 11 (x) ISO 9362 — Swift BIC code identifier assigned M 4 (x) ISO 10383-MIC code assigned swift 4 (a) OTC transactions Transactions XOFF-number identifying the Max40 (x) TD granted unique transaction number (if the market operator notifies both the purchase transaction and sales side, each deal grant party your unique identification number) a = M 1 letter identifier; x = letter, digit or symbol; d = decimal; n = numeric.
2 M – mandatory field; O-optional field.
3 Options-options; Future-forward contract.
4 put-option the right to sell; Call-option rights to purchase; Future-forward contract.
  Annex 2 financial and capital market Commission 28.04.2012. Regulation No. 95 normative statement of transactions with OTC derivatives information and its field name format field data formāts1 field values

The category Field a field value type (M, O) 2 players (TD) in the notice provider identifier 11 (x) ISO 9362 — Swift BIC code identifier assigned to the transaction date will be 4 M (n)-2 (n)-2 (n) ISO 8601 date format: YYYY-MM-DD date M transaction time 2 (n): (n) 2:2 (n) ISO-8601 time format: HH: MM: SS time M sale/purchase ID 1 (a) (B) = the purchase; S = sale code reviewer Transaction category M 1 (a) P = TD on your customer's behalf or for its own account; A = TD on behalf of the client on the client's invoice code M identification of financial instruments derivative identifier 2 (a) (9) (x) (1) (n) ISO 6166-ISIN code identifier (base) related O RT identification of financial instruments (a) 9 2 (x) 1 (n) ISO 6166-ISIN code identifier to identifier 6 M Marki clip (x) or (x) 9 identifier O derivative veids3 1 (a) O = Option Code M W = F = Equity futures/forwards D = X = 3 & CFDs Spreads but S = Z = CDs swaps K = Complex counterparties Put/Call identifikators4 1 (a) P = Pu; C = Call code see below table added price cartoonist 19 (d) execution price (strike price) 19 (d)/delivery period of validity (Expiry date/Delivery) 4 (n)-2 (n)-2 (n) ISO 8601 date format: YYYY-MM-DD date price Max19 (d) the quantity of currency Prices 3 M (a) ISO 4217 currency code for the code – M quantity Max19 (d) Figure M counterparty the counterparty 11 (x) ISO 9362 — Swift BIC code assigned code M 4 (x) ISO 10383-MIC code assigned swift 40 (x) client code ( a unique customer code TD) customer ID 11 (x) ISO 9362 — Swift BIC code assigned code M (x) customer Max40 code (a unique customer code TD) transaction code 4 (a) XXXX the code M transaction number identifying Max40 (x) TD granted unique transaction number (if the market operator notifies both the purchase and sale transaction, each party to the transaction assigns your unique identification number) a = M 1 letter identifier; x = letter, digit or symbol; d = decimal; n = numeric.
2 M – mandatory field; O-optional field.
3 options-options; -Guarantee certificates; Futures/forwards-futures contracts; CFD & TRS (contracts for difference and Total Return swaps), contracts for difference and swaps total revenue; Spread betting on financial-but events; Swap – swap agreements (except for the CFD, and THREE CDs); The CDs (credit default Swap) – credit default swaps; Complex for counterparties – complex derivative instruments.
4 put-option the right to sell; Call-option with the right buy.
The announcement of the deal with the field of OTC derivatives "financial instrument identifier" filling options, warrants futures CFD spreads but THREE & Swap CDs counterparties put Complex/Call identifier M M N O O N N O M M M price cartoonist O O M N O execution price (strike price) M M N N O O O O the expiration date (the Expiration date) M M M O O M O O M – this field is mandatory. N – this type of instrument in this field must be empty. O-optional field.
  Annex 3 financial and capital market Commission 28.04.2012. Regulation No. 95 normative notice of cancellation of the transaction information and the format 1. RT instruments field name field data format for the field value in the field value class field type (M, O) market (TD) in the notice provider identifier 11 (x) ISO 9362 — Swift BIC code identifier assigned Transaction number identifying the M Max40 (x) TD unique number assigned to the transaction identifier M identification of financial instruments (a) 9 2 (x) 1 (n) ISO 6166-ISIN code identifier M or an alternative instrument identifier (AI) stock exchange code 4 AI (x) ISO 10383-MIC code assigned swift code assigned code stock M, Max 12 (x) code M AII derivative type 1 (a) O = Options; F = future identifier M put/Call ID 1 (a) P = Pu; C = Call; F = future identifier M deadline/delivery/settlement date 4 (n)-2 (n)-2 (n) ISO 8601 date format: YYYY-MM-DD date M performance price (strike price) Max 19 (d) M date of transaction (n) 4-2 (n)-2 (n) ISO 8601 date format: YYYY-MM-DD date cancellation reason 1 M (a) M = error; C = the transaction is canceled, code M 2. OTC derivatives field name field data format for the field value in the field value class field type (M, O) market (TD) in the notice provider identifier 11 (x) ISO 9362 — Swift BIC code identifier assigned Transaction number identifying the M Max40 (x) TD unique number assigned to the transaction identifier M (base) RT Related financial instrument identifier 2 (a) (9) (x) (1) (n) ISO 6166-ISIN code identifier M transaction date (n) 4-2 (n)-2 (n) ISO 8601 date format : YYYY-MM-DD date cancellation reason 1 M (a) M = error; C = the transaction is canceled, a letter code is M =; x = letter, digit or symbol; n = numeric.