LV

Market

SIA ''FOREKS un KO''

Registration number
40003392635
Legal address
Plēksnes iela 3-40, Rīga, LV-1016
Country of origin
Latvia

Foreign exchange trading addresses:

Stacijas laukumā 2 (Rīgas Pasažieru stacijas centrālajā zālē), Rīga, LV-1050

Market segments

Market segment
Foreign exchange trading companies
Other market segments

Licenses / Types of activities

Foreign exchange trading companies
Foreign exchange trading
Date: 19.06.1998

Type of infringement
NILLTPFN likuma prasību pārkāpumi - neatbilstības risku novērtējumā, IKS dokumentā un IKS dokumenta efektivitātes izvērtēšanā, trūkumi darbinieku apmācības novērtēšanā, klienta izpētē un veikto darījumu uzraudzībā
Date
20.09.2019
Status
In force
Sanctions applied
Soda nauda SIA \"FOREKS un Ko\" 3 000 EUR Pienākums SIA \"FOREKS un Ko\" novērst risku novērtējumā un IKS dokumentā pieļautās neatbilstības

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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