FCMC Regulations

  • Section:
Regulations on the Preparation of Reports of Investment Management Companies (available in Latvian)
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 Core Principles of the Remuneration Policy for the Managers of Investment Management Companies and Alternative Investment Funds
Regulation for Establishing the Internal Control System of an Investment Management Company
2011-11-11 Regulations for Drawing Up Key Investor Information
2011-11-24 Regulations Governing the Merger of Funds, the Dealing Between Master–Feeder Structures and the Procedure for Marketing Investment Certificates
Regulations Governing the Content of the Agreement Between an Investment Management Company and a Custodian Bank
Regulations for Calculating the Fund’s Global Exposure and Risk Exposure to a Counterparty
Regulations Governing the Use of the Name of a Money Market Fund (in effect till 27 November 2018)
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)

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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