-
Filter:
-
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).
Back