SIA Viainvest
1 of 2 sanctions recorded for Latvia.
- Sanction date
- 10 Oct 2022
- Country
- Latvia
- Legal framework
- MiFID
- Nature of sanction
- Administrative sanction and measure
- LEI
- 648822UX23T410SLEX77
- ESMA sanction ID
- 11406
Sanction text
Original language: Latvian. Text is published as-is from ESMA.
When concluding the Administrative Treaty, the FCMC issued a warning to the company regarding infringements related to non-compliance with the conditions laid down in the transitional plan resulting from Articles 126.2 and 129 of the Financial Instrument Market Law and Article 4 of the Investment Brokerage Law. The FCMC imposed a fine on the company for violations of Section 6, Paragraph two, Section 7, Paragraph one, Clauses 2, 3, 4 and 8, Section 10, Paragraph one, Section 11.1, Paragraph one, Section 20, Paragraph one, Clause 2 and Paragraph two, Clauses 1 and Section 22, Paragraph one of the Law on the Prevention of Money Laundering and Terrorism and Proliferation Financing and for violations of paragraphs 10, 31 and 32 of the FCMC’s Regulation No. 5.
Related registers
- MiFID Register NCA-level enforcement actions
- EU Sanctions Commission restrictive measures
- LEI Lookup Look up this entity by LEI
Data sourced from the ESMA sanctions and enforcement register, updated weekly.
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