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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 ''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

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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