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FCMC Regulations

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25.07.2011 2010-11-13 Regulations on the Compliance with Restrictions on Exposures (available in Latvian)
05.01.2011 2010-11-13 Amendments to Regulations for Calculating the Minimum Capital Requirements (available in Latvian)
13.12.2010 Regulations on Obtaining Permits for Using Internal Ratings Based Approach (IRB), Advanced Measurement Approach (AMA), Internal Model Approach and Internal Value–at–Risk Model (available in Latvian)
25.03.2010 2010-01-06 Regulations on Credit Risk Management
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)
08.02.2011 2009-12-21 Regulations on Core 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, Investment Management Companies, Latvian Central Depository or Investment Firm
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
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
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 2004-03-19 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
13.03.2006 2004-03-19 Recommendations for Keeping Records of Publicly Traded Financial Instruments Not Registered with the Latvian Central Depository
13.03.2006 2003-09-01 Regulations on the Preparation of Monthly Reports for Brokerage Companies (available in Latvian)
13.03.2006 2005-07-21 Regulations on the Requirements to be Observed in Providing Recommendations for Investments
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