Financial and capital market Commission, the provisions of regulations No 165, Riga, 21 November 2008 (pr. 3. p. 49)
Financial and capital market participants about the payment of financial and capital market Commission for funding in 2009 the discovery and reporting of legislative provisions Issued pursuant to the financial and capital market Commission of the law article 17, paragraph 7, and article 22 – 24 and reinsurance Act article 11, the second, third and fourth part i. General questions 1. "financial and capital market participants about the payment of financial and capital market Commission for funding in 2009 the discovery and reporting of legislative provisions" (hereinafter-the rules) are binding on insurers , reinsurers, private pension funds, investment companies regulated market organizers, Latvian central depository, investment management firms, credit unions and credit institutions (hereinafter referred to as the financial and capital market participants), as well as foreign branches of economic operators in accordance with the law to give financial services in Latvia (hereinafter foreign merchant affiliates).
2. the rules are not binding on the electronic money institutions which, under the law of credit institutions receive financial and capital market Commission (hereinafter the Commission) issued a license (permission) for the operation of the credit institution and Member State the reinsurers affiliates.
II. financing amounting to 3.  Financial and capital market participants payments for financing the activities of the Commission in 2009 are the following: 3.1 the insurer received the payment of quarterly Gross insurance premiums direct amounting to: 3.1.1. percent of vehicles 0.19 insurance against civil liability in respect of the insurance operations;
3.1.2.0.193 percent of life insurance with savings of building operations, from unit-linked life insurance contracts;
3.1.3.0.488 percent of other insurance operations;
3.2. the reinsurer charges 0.488 percent from third quarter gross reinsurance premiums received;
3.3. private pension fund payments at the level of interest from 0.281 retirement plan participants and their good quarterly instalments in the private pension funds licensed in pension plans;
3.4. investment brokerage firm charges 1 percentage of brokerage firm business gross revenue in the quarter, but not less than 2000 dollars a year from each of the brokerage firm;
3.5. the investment management company charges interest of 0.017 investment management firms in the management of investment funds, the average amount of assets per quarter, but not less than 2500 dollars a year from each of the investment firm;
3.6. the organizer of the regulated market payments from 1.648 percent ownership of the regulated market counterparty gross revenue in the quarter, but not less than 5000 dollars a year from each of the organizer of the regulated market;
3.7. The Latvian Central Depository charges 1.648 percent of its gross revenue of the business quarter, but not less than 5000 dollars a year;
3.8. credit unions are paying interest of about 0.033 credit unions average about a quarter of the assets;
3.9. the percentage of credit payment 0.00431 amount of the average amount of credit assets in the quarter.
4. branches of foreign merchant payments to finance the activities of the Commission in 2009, is determined in accordance with paragraph 3 of this rule, according to their scope.
5. the financial and capital market players, which has a branch in a foreign country and who make payments also foreign supervisory authority for the supervision of the relevant foreign country: 5.1 payment for financing the activities of the Commission during the period is reduced by the foreign payments to the supervisory authority, which proves with the supporting documents, shall be submitted together with the reports provided for in paragraph 6, translated into lats at the Bank of Latvia exchange rate the last calendar day of the period;
5.2. no mutual relation with the Commission if the amount of the duty foreign supervisory authority exceeds the amount of the payments for the financing of the activities of the Commission during the period.
III. Payment and arrangements 6. Financial and capital market participants to review the quarter following month 30. date to be submitted to the Commission for the following reports: 6.1. insurers ' review of insurer payment calculation for financial and capital market Commission for financing "(annex 1);
6.2. the reinsurers ' review of the calculation of the reinsurer charges financial and capital market Commission for financing "(annex 2);
6.3. private pension funds ' review of the private pension fund payment calculation of financial and capital market Commission for financing "(annex 3);
6.4. the investment brokerage firms "review of investment brokerage company payment calculation for financial and capital market Commission for financing" (annex 4);
6.5. the investment management companies "review of investment management company payment calculation for financial and capital market Commission for financing" (annex 5);
6.6. the organizers of the regulated market and the Latvian Central Depositary "review of a regulated market the Organizer/Latvian Central Depository payment calculation of financial and capital market Commission for financing" (annex 6);
6.7. the credit unions ' overview of credit unions to payment calculation of financial and capital market Commission for financing "(annex 7);
6.8. the credit institutions ' review of the calculation of credit payment of financial and capital market Commission for financing "(annex 8).
7. foreign company branches that rule laid down in paragraph 6, the report must be submitted within their scope.
8. payments for the financing of the Commission are made quarterly in lats.
9. the financial and capital market participants, t.sk. foreign merchant affiliates until the following month 30 quarter. date this provision laid down in paragraph 3 of the Commission payment in the account no Bank LV96 0000 0000 1185 1 Latvian LACB V2X LACBL, tax registration No. 90001049028.10. If this rule 3.4-3.7 in the financial and capital market participant or branch of a foreign merchant or ceases his activity report in the middle of the quarter, the amount of payment shall be determined in proportion to the period of its operation.
Financial and capital market Commission (I). Krūman of annex 1 financial and capital market Commission 21.11.2008 regulatory arrangements no 165 properties Insurer ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ submit financial and capital market Commission and the review quarter following the date of the month 30. Overview of insurer payment calculation of financial and capital market Commission for financing of _____ _____ of ___ ___ ___ ___ ___ ___ (in lats) position the position of the rate amount% amount due (A) 01 02 03 ground vehicle insurance against civil liability in respect of the operation of insurance in life insurance with savings 0.190 building operations other insurance operations 0.193 0.488 total

X payment in foreign supervisory authority X X total and foreign supervisory authority X X the difference If the amount of the duty foreign supervisory authority exceeds the amount of the payments for the financing of the activities of the Commission during the period, the Commission and the financial and capital market participant does not have a reciprocal relationship.
 
Manager ___ ____ ____ ____ ____ ____/____ ____ ____ ____ _____ __ (signature) (name) performer ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ _____ (name, phone number, email address) Annex 2 financial and capital market Commission 21.11.2008 regulatory arrangements no 165 Reinsurers properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ submit financial and capital market Commission and the review quarter following the date of the month 30. Review of payment of reinsurer calculated financial and capital market Commission for financing of _____ _____ of ___ ___ ___ ___ ___ ___ (in lats) line amount (A) 01 gross reinsurance premiums received levy rate as% of the payment amount 0.488 foreign supervisory authority total and payment foreign supervisory authority the difference ** If the amount of the duty foreign supervisory authority exceeds the amount of the payments for the financing of the activities of the Commission during the period, the Commission and the financial and capital market participant does not have a reciprocal relationship.
 
Manager ___ ____ ____ ____ ____ ____/____ ____ ____ ____ _____ __ (signature) (name) performer ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ (name, last name, phone number, email address) Annex 3 financial and capital market Commission 21.11.2008 regulatory arrangements no 165 pension fund properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____

Must be submitted to the financial and capital market Commission and the review quarter the following month 30. date survey of private pension fund payment calculation of financial and capital market Commission for financing of _____ _____ of ___ ___ ___ ___ ___ ___ (in lats) line amount (A) the pension plan members ' 01 and a good amount of contributions made to the rate of 0.281% payment amount payment foreign supervisory authority payment amount and payment of foreign supervisory authority the difference ** If the amount of the duty foreign supervisory authority exceeds the amount of the payments for the financing of the activities of the Commission during the period The Commission and the financial and capital market participant does not have a reciprocal relationship.
Manager ___ ____ ____ ____ ____ ____/____ ____ ____ ____ _____ __ (signature) (name) performer ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ (name, last name, phone number, email address) Annex 4 financial and capital market Commission 21.11.2008 regulatory arrangements no 165 investment brokerage company properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ submit financial and capital market Commission and the review quarter the following month 30. date survey of investment brokerage company payment calculation for financial and capital market Commission for financing of _____ _____ of ___ ___ ___ ___ ___ ___ (in lats) line amount (A) 01 business gross revenue payment rate 1 payment amount payment foreign supervisory authority payment amount and payment of foreign supervisory authority the difference ** If the amount of the duty foreign supervisory authority exceeds the amount of the payments for the financing of the activities of the Commission during the period, the Commission and the financial and capital market participant does not have a reciprocal relationship.
Manager ___ ____ ____ ____ ____ ____/____ ____ ____ ____ _____ __ (signature) (name) performer _____ _____ _____ _____ _____ _____ _____ _____ _____ (name, last name, phone number, email address) Annex 5 financial and capital market Commission 21.11.2008 regulatory arrangements no 165 investment management company properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ submit financial and capital market Commission and the review quarter the following month 30. date review of the investment management company for payment calculation of financial and capital market Commission for financing of _____ _____ of ___ ___ ___ ___ ___ ___ (in lats) line amount (A) 01 investment management firms the management of investment funds in the middle level of the active duty rate 0.017% of the payment amount foreign supervisory authority payment amount and payment of foreign supervisory authority the difference ** If the amount of the duty foreign supervisory authority exceeds the amount of the payments for the financing of the activities of the Commission during the period, the Commission and the financial and capital market participant does not have a reciprocal relationship.
 
Manager ___ ____ ____ ____ ____ ____/____ ____ ____ ____ _____ __ (signature) (name) performer ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ __ (name, last name, phone number, email address) Annex 6 financial and capital market Commission 21.11.2008 regulatory arrangements no 165/organizer of the regulated market of the Latvian Central Depository properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ submit financial and capital market Commission and the review quarter the following month 30. date survey of regulated market Organizer/Latvian Central Depository payment calculation of financial and capital market Commission for financing of _____ _____ of ___ ___ ___ ___ ___ ___ (in lats) line amount (A) 01 business gross revenue payment rate % of payment amount, 1.648 Manager ___ ____ ____ ____ ____ ____/____ ____ ____ ____ _____ __ (signature) (name) performer ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ __ (name, last name, phone number, email address) Annex 7 financial and capital market Commission 21.11.2008 regulatory arrangements no 165 credit unions properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ submit financial and capital market Commission and the review quarter the following month 30. date survey of credit unions to payment calculation of financial and capital market Commission for financing of _____ _____ of ___ ___ ___ ___ ___ ___ (in lats) line amount (A) the average amount of assets 01 duty rate ,%, 0.033 payment Manager ___ ____ ____ ____ ____ ____/____ ____ ____ ____ _____ __ (signature) (name) performer ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ __ (name, last name, phone number, email address) Annex 8 financial and capital market Commission 21.11.2008 regulatory arrangements no 165 credit properties ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ submit financial and capital market Commission and the review quarter the following month 30. Overview of date payment calculation of credit financial and capital market Commission for financing of _____ _____ of ___ ___ ___ ___ ___ ___ (in lats) line amount (A) the average amount of assets 01 duty rate as% of the payment amount 0.00431 foreign supervisory authority payment amount and payment of foreign supervisory authority the difference ** If the amount of the duty foreign supervisory authority exceeds the amount of the payments for the financing of the activities of the Commission during the period, the Commission and the financial and capital market participant does not have a reciprocal relationship.
Manager ___ ____ ____ ____ ____ ____/____ ____ ____ ____ _____ __ (signature) (name) performer _____ _____ _____ _____ _____ _____ _____ _____ _____ (name, phone number, e-mail address)