The Amendments To The "normative Provisions On Procedures For Reporting Information About Transactions With Countries Of The European Economic Area The Regulated Markets Of Financial Instruments"

Original Language Title: Grozījumi "Normatīvajos noteikumos par kārtību, kādā ziņojama informācija par darījumiem ar Eiropas Ekonomikas zonas valstu regulētajos tirgos iekļautajiem finanšu instrumentiem"

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Financial and capital market Commission, the provisions of regulations No 167 in Riga 2008. on 21 November (pr. 2. p. 49)
The amendments to the regulations the provisions on "procedures for the reporting of information on transactions with the countries of the European economic area the regulated markets of financial instruments in the" make financial and capital market Commission Regulation No 156 09.11.2007. "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 in the" the following amendments: 1. Express 9.6. point as follows: "9.6. financial instruments with which sealed the deal , ISIN (International Securities Identifying Number) code. If a financial instrument ISIN code, not the financial instrument is assigned an alternative instrument identifier (financial instrument identifier); ".
2. Make the following paragraph 11.3: "11.3. financial instrument ISIN (International Securities Identifying Number) code or an alternative instrument identifier (financial instrument identifier);".
3. Express annex 1 as follows: "annex 1 financial and capital market Commission Regulation No 156 09.11.2007. Notice of the transaction information and the format field name field data format (*) field values for the category field value explanation 1. market participants (TD) message provider identifier (x) 11 ISO 9362 — Swift BIC code assigned (Bank Identifier Code) identifier TD identifier.
The identifier should use the BIC code assigned by swift. The TD must ensure that it has the BIC code.
2. date of the transaction (x) ISO 8601 10-date format: YYYY-MM-DD date date of conclusion of the transaction.
3. Transaction time (x) 8-ISO 8601 time format: HH: MM: SS the time time of conclusion of the Transaction by the Latvian time.
4. identification of the purchase or sale of 1 (a) (B) = S = sale purchase code indication whether it is a purchase or sales transactions (TD point of view).
5. Business category 1 offender (a) P = TD on your customer's behalf or on their own account A = TD on behalf of the client to client code specifies invoice, or TD make transactions for its own account or at the customer's expense.
6. the identification of financial instruments (a) 9 2 (x) 1 (n) 4 (x) 1-12 x 1 (a) 1 (a), 10 (x) Max19 (d) fraction up to 5 characters ISO 6166 — International Securities identifying number (ISIN code) or an alternative instrument identifier (AI), which consists of: ISO 10383-MIC code assigned swift (market Identifier Code) and the code given stock and O = option (options) F = Futures (future), and P = sales option (put) C = purchase option (Call) F = Futures (Futures) and sunset/ delivery/payment date (Expiry date/Delivery/prompt) ISO-8601 date format: YYYY-MM-DD and the positive values of the fixed price of the derivative FI. Futures (future) value is 0.
The identifier For the financial instrument (FI) name ISIN code or use an alternative instrument identifier (AII).
7. the price Max19 (d) figure price without Commission and interest accrued. Debt securities price can be specified as a percentage. The price can not be negative.
8. price currency 3 (a) ISO-4217 currency code code quantity Max19 9 (d) debt securities total nominal amount (rather than nominālvienīb).
10. Counterparty 11 (x) 4 (x) Max 40 (x) ISO 9362 — Swift BIC code assigned (Bank Identifier Code) ISO 10383-MIC code assigned swift (market Identifier Code) client code (TD for each customer, assign your internal unique code) code If the OTC, the appropriate transaction parties BIC code (bank or investment company) or customer number (if a counterparty is a client).
If the regulated market or multilateral trading facility (MTF), the regulated market or MTF MIC code.
11. Customer ID 11 (x) Max 40 (x) ISO 9362 — Swift BIC code assigned (Bank Identifier Code) of the client code (TD granted for each customer their internal unique code) code if the customer is a bank or investment firm, the BIC code, if it is (ISO 9362).
TD assigned unique identifier for the customer.
12. the Business place 11 (x) 4 (x) (x) 4 ISO 9362 — Swift BIC code assigned (Bank Identifier Code) ISO 10383-MIC code assigned swift (market Identifier Code) XOFF-OTC transactions identifier identifier BIC code if the bank or the investment brokerage company acts as a systematic inernalizētāj.
MIC code, if the transaction takes place on the stock exchange or MTF.
 
 
If a transaction happened in OTC, indicate the identifier XOFF.
13. Business number identifying Max40 (x) TD unique number assigned to the transaction identifier for each TD for each transaction shall be allocated its own unique number.
* a = x = letter, letter, number or symbol, d = decimal number, n = digit. "
4. Make annex 2 as follows: "annex 2 financial and capital market Commission Regulation No 156 09.11.2007. Notice of cancellation of the transaction information and the format field name field data format (*) field values for the category field value explanation 1. market participants (TD) message provider identifier (x) 11 ISO 9362 — Swift BIC code assigned (Bank Identifier Code) identifier TD identifier.
The identifier should use the BIC code assigned by swift. The TD must ensure that it has the BIC code.
2. Transaction number identifying Max40 (x) TD unique number assigned to the transaction identifier for each TD for each transaction shall be allocated its own unique number.
3. the identification of financial instruments (a) 9 2 (x) 1 (n) 4 (x) 1-12 x 1 (a) 1 (a), 10 (x) Max19 (d) fraction up to 5 characters ISO 6166 — International Securities identifying number (ISIN code) or an alternative instrument identifier (AI), which consists of: ISO 10383-MIC code assigned swift (market Identifier Code) and the code given stock and O = option (options) F = Futures (future), and P = sales option (put) C = purchase option (Call) F = Futures (Futures) and sunset/ delivery/payment date (Expiry date/Delivery/prompt) ISO-8601 date format: YYYY-MM-DD and the positive values of the fixed price of the derivative FI. Futures (future) value is 0.
The identifier for the identification of the financial instrument ISIN code or used the AI.
4. date of transaction (x) ISO 8601 10-date format: YYYY-MM-DD date date of conclusion of the transaction.
5. the reason for the Cancellation (a) 1 M = C = transaction error code transaction cancelled cancellation reason identification code.
* a = x = letter, letter, number or symbol, n = digit. "
Financial and capital market Commission of Krūman I.

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