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Akciju sabiedrība "Reģionālā investīciju banka"

Type of infringement:
The Bank, on certain occasions, had failed to comply with the regulatory obligation to verify the origin of financial resources.
Date:
06.11.2020
Status:
In force
Sanctions applied:
A fine of 473 076 euro.
Related article:

Luminor Bank AS Latvijas filiāle

Type of infringement:
Breaches of the anti-money laundering and counter terrorism and proliferation financing regulatory requirements
Date:
24.08.2021
Status:
In force
Sanctions applied:
A warning
Related article:

How to become a market participant

In order to become a participant of Latvian financial and capital markets and commence business activities, a credit institution, an insurance company, a reinsurance company, an insurance broker, a credit union, an investment management company, an investment firm, an operator of regulated market, a pension fund, a payment institution, an electronic money institution, as well as an alternative investment fund manager shall obtain operating authorisation (licence).

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