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Kooperatīvā krājaizdevu sabiedrība "Dzēse pluss"
Type of infringement:
Section 19(3), Section 20(9) and (10) and Section 27 of the Law on Savings and Loan Associations
Date:
05.06.2024
Status:
Adopted by Supervision Committee of Latvijas Banka
Sanctions applied:
Warning
SIA "Transact Pro"
Type of infringement:
Violations of capital requirements under the Law on Payment Services and Electronic Money
Date:
11.09.2024
Status:
Adopted by Supervision Committee of Latvijas Banka
Sanctions applied:
Warning
Signet Bank AS
Type of infringement:
Breaches of the regulatory requirements regarding the prevention of money laundering and terrorism and proliferation financing
Date:
20.12.2024
Status:
In force
Sanctions applied:
A warning
Akciju sabiedrība "Ditton pievadķēžu rūpnīca"
Type of infringement:
Violation of the obligation to buy back shares laid down in Section 42 of the Share Buy-back Law.
Date:
05.03.2025
Status:
Adopted by FCMC
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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