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Akciju sabiedrība "RĪGAS ELEKTROMAŠĪNBŪVES RŪPNĪCA"
Type of infringement:
Breach of the Articles 66 and 61³ - mandatory share buy-back offer has not been addressed to other shareholders in the combination with violation of notifications (terms and distribution of a notification).
Date:
16.01.2019
Status:
In force
Sanctions applied:
A fine of 10 800 euro on shareholder of AS “Rīgas elektromašīnbūves rūpnīca” Sergejs Grečukas.
Related article:
Sabiedrība ar ierobežotu atbildību "VIA SMS group"
Type of infringement:
Breach of Paragraph 5 of the Article 56 of the Financial Instruments Law - delayed publication of annual report for 2018 together with auditor's opinion.
Date:
07.10.2019
Status:
In force
Sanctions applied:
A fine of 3000 euro.
Related article:
AS "mogo"
Type of infringement:
Breach of Paragraph 5 of the Article 56 of the Financial Instruments Law - delayed publication of annual report for 2018 together with auditor's opinion.
Date:
28.10.2019
Status:
In force
Sanctions applied:
Public announcement
Related article:
Akciju sabiedrība "Rīgas juvelierizstrādājumu rūpnīca"
Type of infringement:
Breach of the Article 66 - mandatory share buy-back offer has not been addressed to other shareholders.
Date:
20.10.2020
Status:
In force
Sanctions applied:
A fine of 20 000 euro on the shareholders of "Rīgas Juvelierizstrādājumu rūpnīca" Aleftīna Struļēviča, Vladimirs Cadovičs, Marija Ančevska, Valentins Istomins un SIA "Namejs 1".
Related article:
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:
05.11.2020
Status:
In force
Sanctions applied:
A fine of 473 076 euro.
Related article:
Integrum Asset Management IPAS
Type of infringement:
Violations of the Law on the Prevention of Money Laundering and Terrorism and Proliferation Financing requirements.
Date:
16.03.2021
Status:
In force
Sanctions applied:
A fine of 57 217 euro.
Related article:
AS IBS "Renesource Capital"
Type of infringement:
Violations of the Fiancial Instruments Law
Date:
09.06.2021
Status:
In force
Sanctions applied:
A fine of 34 000 euro
Related article:
Type of infringement:
Violations of the Law on the Prevention of Money Laundering and Terrorism and Proliferation Financing requirements.
Date:
09.06.2021
Status:
In force
Sanctions applied:
A fine of 34 000 euro imposed on the AS IBS "Renesource Capital". A fine of 2900 euro on the Chairman of the Board of AS IBS "Renesource Capital" M.Priede from the field of the AML/CTF compliance.
Related article:
SSE Baltic Opportunities Limited
Type of infringement:
Infringements of the Financial Instruments Market Law
Date:
14.06.2021
Status:
In force
Sanctions applied:
A public statement, indicating the natural person responsible and the nature of the breach.
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:
23.08.2021
Status:
In force
Sanctions applied:
A warning
Related article:
Akciju sabiedrība "Olainfarm"
Type of infringement:
Infringements of the Financial Instruments Market Law, Regulation (EU) No 596/2014, Implementing regulation (EU) 2016/347.
Date:
20.09.2021
Status:
Adopted by FCMC
Sanctions applied:
A fine of 50 000 euro imposed on the company.
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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