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FCMC Regulations

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03.02.2010 2009-09-25 Amendments to Regulations on the Preparation of Annual Accounts of Investment Funds (available in Latvian)
03.02.2010 2009-09-25 Amendments to Regulations on the Preparation of Annual Accounts and Annual Consolidated Accounts for Banks, Investment Brokerage Firms and Investment Management Companies (available in Latvian)
25.01.2010 2009-12-21 Regulations on Underlying Principles of Remuneration Policies
09.10.2009 2009-03-20 List of Information Required for the Notification of Acquisition or Increasing of a Qualifying Holding in a Credit Institution, Insurance Undertaking, Reinsurance Undertaking, Regulated Market Organizer, Latvian Central Depository or Investment Firm
12.09.2008 2008-18-07 Regulations on the Compliance of Criteria for Investment Objects of Open-ended Funds with the Law on Investment Management Companies (Available in Latvian)
11.02.2008 2008-01-25 Regulations on the Preparation of Reports of Investment Management Companies
03.02.2010 2007-12-30 Amendments to Regulations on the Preparation of Annual Accounts and Annual Consolidated Accounts for Banks, Investment Brokerage Firms and Investment Management Companies (available in Latvian)
25.01.2010 2007-11-30 Regulations on the Preparation and Submission of Reports on the Calculation of Minimum Capital Requirements and Own Funds (available in Latvian)
20.08.2008 2007-04-26 Regulations on the Procedure for Submitting Information to the Official System for Central Storage of the Regulated Information
14.07.2008 2007-05-02 Regulations for Calculating the Minimum Capital Requirements
17.04.2008 2007-05-02 Regulations on the Compliance with Restrictions on Exposures
10.03.2008 2007-05-25 Regulations on the Approval of Notification Forms for the Acquisition or Disposal of a Qualifying Holding Prescribed in the Law on the Financial Instruments Market
03.02.2010 2006-05-19 Regulations on the Preparation of Annual Accounts of Investment Funds (available in Latvian)
13.03.2006 2005-12-30 Regulations on Records of Financial Instruments Kept by Account Holders of Nominal Financial Instruments (available in Latvian)
13.03.2006 2005-05-13 Recommendations on the Contents of Some Indents of a Simplified Prospectus of an Open-end Investment Fund
27.03.2006 2006-02-24 Regulations on the Preparation of Annual Accounts and Annual Consolidated Accounts for Banks, Investment Brokerage Firms and Investment Management Companies
13.03.2006 2004-04-30 Regarding Approval of Sample Applications and Notifications Prescribed in the Law on Investment Management Companies
13.03.2006 2006-12-08 Regulations on the Preparation of Reports of Investment Funds (available in Latvian)
13.03.2006 2004-03-19 Recommendations to Investment Brokerage Firms and Credit Institutions for Seeking the Cooperation of Financial Instruments Market Participants of Other States
13.03.2006 2004-03-19 Regulations for the Completion and Keeping of Source Documents Associated with Financial Instrument Transactions
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