Financial and capital market Commission, the provisions of regulations No 79 in Riga, 20 May 2011 (financial and capital market Commission Council meeting Protocol No 19 2. p.)
Participant portfolios of financial instruments reporting regulations Regulations Issued in accordance with law 11 of investor protection. the third paragraph of article i. General questions 1. "participant portfolios of financial instruments reporting regulations regulations" (hereinafter-the rules) determines the order in which the Member shall prepare and submit to the financial and capital market Commission (hereinafter the Commission) quarterly report about the system's financial instruments portfolio.
2. The rules are binding on scheme members, which apply the provisions of the law on protection of investors and which provides investment services.
3. the terms used in the rules: 3.1. financial instruments-financial instruments listed on the financial instruments market law article 3, second paragraph;
3.2. professional investor-Professional client pursuant to the law on the financial instruments market;
3.3. nominal account – financial instruments account, listing the other persons holding existing financial instruments;
4. The system according to the provisions of this annex shall draw up a report for "the system of financial instruments portfolio overview" (hereinafter the report) each quarter on the last date of the month and submit it to the Commission to review the quarter following month 20. date.
5. The report does not contain information on the investments, which owns 5.1 system: members, insurance companies, investment management firms, private pension funds or other investors who did that are professional investors;
5.2. belongs to the people who are in the same group with participants in a system;
5.3. State and local governments;
5.4. belongs to the system board or Council members, the head of the Audit Commission or the members of the Commission, the head of the internal audit service or the service members, other staff members who are authorized to plan, manage and control the operation of the system and who are responsible for it, as well as persons who directly or indirectly acquired more than five percent of the system's capital;
5.5. belongs to the person responsible for the system of audits;
5.6. belongs to the people who have these rules 5.4 and 5.5 of the persons referred to in paragraph first-degree relatives or spouses;
5.7. belongs to the person operating this provision a person referred to in paragraph 5.5 of the word;
5.8. in nominal accounts to himself by opening the system where it lists the holdings of others existing financial instruments.
6. Credit institutions and investment brokerage company in the report does not include information about the investment, which is the credit institution or investment firm open investor cash and financial instruments accounts and which is transferred to the portfolio of financial instruments for the management of other individual members of the system. Information about such investments in the report include only the system that provides the appropriate portfolio of financial instruments for individual management service.
7. the report shall be prepared, subject to the following requirements: 7.1 these terms 3. heading indicates the following information for each calendar month last date: 7.1.1 the investor who had a system participant financial instruments and funds for the provision of investment services, the amount of each contribution is such that 90% not exceeding 20 000 euros (1, 3, and 5 in box);
7.1.2. the contribution which the 90 percent for each investor must not exceed 20 000 € total amount (2, 4, and 6. the box);
7.2. the provisions of annex 11. position indicates the following information for each calendar month last date: 7.2.1. investors who transferred it to the participant financial instruments and funds for the provision of investment services, the amount of each contribution is such that 90 percent of more than 20 000 euros (1, 3, and 5 in box);
7.2.2. the investment that 90 percent for each investor exceeds 20 000 € total amount (2, 4, and 6. the box);
7.3. all members of the investor's investment in a single sum, and considered as one investment;
7.4. the report used in currency is the monetary unit of the Republic of Latvia;
7.5. in assessing the system'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, a report including the only investments with positive market value.
8. the report shall be drawn up in the form of an XML file according to the rules of annex 1 description of the scheme and to the model in annex 2. The report is submitted to the Commission according to Commission rules, regulations No 14.10.2008.146 "prepared statements electronically submit the legislative provisions".
9. 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.
II. final question 10. First review in the system prepares for 2011 3rd quarter.
Financial and capital market Commission (I). Krūman of annex 1 financial and capital market Commission 20.05.2011. provisions in laws No 79 "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 the responsible of the data in an XMl file in the ielas name Executor SD_INSTR_POR 7.
Filler phone no Max200 (x) phone no. SD_INSTR_POR 8 PhoneNr format.
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 URfktk_sdfipp_v1_0.xsd xsi: noNamespaceSchemaLocation SD_INSTR_POR-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 investment around) in accordance with the provisions of paragraph 7.1.1 2.2.2.
Amount in lats Max12 (d) investment amount in lats month last date (up to the amount of the investment around) in accordance with the provisions of paragraph 7.1.2 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 (top of the eligible investment amount) in accordance with the provisions of paragraph 7.2.1. 2.3.2.
Amount in lats Max12 (d) investment amount in lats month last date (over the size of investments eligible) in accordance with the provisions of point 7.2.2. • a = letter; x = letter, digit or symbol; d = decimal; n = digit.
Annex 2 financial and capital market Commission 20.05.2011. provisions in laws No 79 "system participant portfolios of financial instruments reporting regulations provisions" annex 3 financial and capital market Commission 20.05.2011. provisions in laws No 79 "system participant portfolios of financial instruments reporting regulations provisions"