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SIA "HELP"
Type of infringement:
NILLTPFN likuma prasību pārkāpumi - trūkumi risku novērtējumā, IKS dokumentā, IKS dokumenta darbības efektivitātes izvērtēšanā, trūkumi klientu izpētē un klientu veikto darījumu uzraudzībā, trūkumi darbinieku apmācībā
Date:
29.04.2021
Status:
In force
Sanctions applied:
Noslēgts administratīvais līgums, piemērojot soda naudu 13 168.17 EUR
Type of infringement:
NILLTPFN likuma prasību pārkāpumi - trūkumi klientu izpētē.
Date:
16.11.2022
Status:
In force
Sanctions applied:
Soda nauda SIA HELP – 3 000 EUR. Pienākums ievērot Likuma 11. panta pirmās daļas 2. punkta c)apakšpunkta, LB noteikumu Nr. 176 18. punkta un IKS dokumenta 5. nodaļas 5.1.2. apakšpunkta prasības, veicot klientu izpēti vairāku secīgi veiktu līdzīgu darījumu gadījumos, kā arī pilnveidot iekšējās kontroles procedūras.
AS "MARIKA"
Type of infringement:
Violations of the requirements of the Law on the Prevention of Money Laundering and Terrorism and Proliferation Financing – deficiencies in the risk assessment, the internal control system document and the assessment of the document\'s operational efficiency, deficiencies in customer due diligence and the monitoring of the transactions executed, deficiencies in the processes of the staff training and the responsible staff performance appraisal, deficiencies in the compliance with the requirements for destroying documents.
Date:
21.05.2021
Status:
In force
Sanctions applied:
A fine of 5750 euro. The fine initially imposed by the administrative agreement concluded between Latvijas Banka and AS MARIKA on 8 November 2023 has been reduced to 5750 euro. The fine has been paid into the state budget.
SIA "EUREX CAPITAL"
Type of infringement:
NILLTPFN likuma prasību pārkāpumi - trūkumi risku novērtējumā, trūkumi klientu izpētē.
Date:
21.05.2021
Status:
In force
Sanctions applied:
Soda nauda SIA EUREX CAPITAL 7 000 EUR
SIA "VALIRE
Type of infringement:
NILLTPFN likuma prasību pārkāpumi - trūkumi risku novērtējumā un IKS dokumentā.
Date:
23.03.2022
Status:
In force
Sanctions applied:
Brīdinājums SIA VALIRE Pienākums nepieļaut Likuma 6. panta, Sankciju likuma 13.1 panta un LB noteikumu Nr. 176 2.-12. un 14.-17. punktu prasību pārkāpumu atkārtošanos.
SIA " Artex"
Type of infringement:
NILLTPFN likuma prasību pārkāpumi - trūkumi risku novērtējumā un IKS dokumentā, trūkumi klientu izpētē un veikto darījumu uzraudzībā, trūkumi darbinieku apmācībā.
Date:
18.05.2022
Status:
In force
Sanctions applied:
Soda nauda SIA ARTEX 500 EUR
SIA "AHOI"
Type of infringement:
NILLTPFN likuma prasību pārkāpumi - trūkumi risku novērtējumā un trūkumi klientu izpētē.
Date:
29.06.2022
Status:
In force
Sanctions applied:
Brīdinājums SIA AHOI
AS Magnetiq Bank
Type of infringement:
Violations of regulatory requirements regarding the prevention of money laundering and terrorism financing
Date:
06.12.2023
Status:
In force
Sanctions applied:
A fine of 2 016 342 euro
Related article:
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
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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