FCMC Regulations

  • Section:
Regulations on the evaluation of fulfilment of conditions for financial support (available in Latvian)
Regulation on the Assessment of the Suitability of the Executive and Supervisory Board Members and Key Function Holders
Regulation on Establishment of the Internal Control System
Regulations for Restrictions on the Marketing, Distribution and Sale of Contracts for Differences and Binary Options to Retail Clients
Regulations on the Procedure for Reporting Transactions in Financial Instruments
List of Information Required for Notification of the Acquisition or Increase of a Qualifying Holding and General Principles and Procedure for the Examination of Notification
Regulation on credit risk management (available in Latvian)
Regulations on Obtaining Permits to Use Internal Models, Approaches and Methods for the Calculation of Capital Requirements under REGULATION (EU) No 575/2013 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 26 June 2013 on Prudential Requirements for Credit Institutions and Investment Firms and Amending Regulation (EU) No 648/2012 (available in Latvian)
Regulations on the procedure for reporting short positions or uncovered positions in financial instruments
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)

Contacts

Address:
Kungu iela 1, Riga, LV-1050
Phone:
6 7774800
E-mail:
fktk@fktk.lv
Previous sign-in to the secretary:
67 774 801
Whistleblowing
parkapumu.zinosana@fktk.lv
Data protection:
datu.aizsardziba@fktk.lv

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