1. The Regulation prescribes the procedures for submitting
reports on suspicious transactions (hereinafter - the report),
and also approves the sample form of the report.
2. Subjects of the Law on the Prevention of Money Laundering
and Terrorism and Proliferation Financing (hereinafter - the
subjects of the Law) shall submit the report electronically
through the website (https://zinojumi.fid.gov.lv) maintained by
the Financial Intelligence Unit of Latvia.
3. When submitting the report, the subject of the Law shall
fill in the sample form specified in Annex 1 to this Regulation
in electronic form or shall upload an XML file that has been
created according to the content of the sample form referred to
in Annex 1 to this Regulation.
4. Other persons may submit the report in paper form by
filling in the sample form specified in Annex 2 to this
Regulation.
5. Cabinet Regulation No. 281 of 2 July 2019, Regulations
Regarding the List of Unusual Transaction Indications and the
Procedures for Submitting Reports on Unusual or Suspicious
Transactions (Latvijas Vēstnesis, 2019, No. 137), is
repealed.
6. The Regulation shall come into force on 17 December
2019.
Prime Minister A. K. Kariņš
Minister for Finance J. Reirs
| Information to be
included |
Name of the field |
Format of the data in a field
(*) |
Value of the field |
Field value category |
| 1 |
2 |
3 |
4 |
5 |
| Type of report |
Type of report |
Max2(a) |
Type of report - value Z |
Text |
| Report submission
data |
Reporting year |
Max2(n) |
Last two digits of the year when
the report was submitted |
Number |
| Reporting date |
YYYY-MM-DD |
Report submission date in the
date format YYYY-MM-DD |
Date |
| Information on the
subject of the Law - submitter of the report |
Reporter group |
Max2(a) |
Code of the reporter group
according to the Classification |
Text |
| Reporter code |
Max4(n) |
Code of the regular
reporter |
Code |
| Information on the
subject of the Law - legal person |
Name |
Max128(x) |
Name of the legal person in
letters of Latvian or Latin alphabet without quotation marks
or apostrophes |
Text |
| Form of the legal person |
Max60(x) |
Form of economic activity of the
legal person according to the Classification |
Code |
| Registration number |
Max32(x) |
Registration number of the legal
person in the public register |
Code |
| Country |
Max2(a) |
Country of registration of the
legal person (two-letter code) |
Code |
| Reporter SWIFT code |
Max11(x) |
SWIFT code of the legal person
according to the SWIFT standard |
Code |
| Information on the
subject of the Law - natural person |
Given name |
Max64(x) |
Given name(s) of the natural
person in letters of Latvian or Latin alphabet. Separator
between words - space or hyphen (-) |
Text |
| Surname |
Max32(x) |
Surname(s) of the natural person
in letters of Latvian or Latin alphabet. Separator between
words - space or hyphen (-) |
Text |
| Personal identity number |
Max12(x) |
Personal identity number of the
natural person assigned in Latvia |
Code |
| Date of birth |
YYYY-MM-DD |
Date of birth of the natural
person in the date format YYYY-MM-DD |
Date |
| Country of issue of the passport
or identification document |
Max2(a) |
Country of issue of the passport
of the natural person (two-letter code) |
Code |
| Report number |
No. of the reporter in the
year |
Max6(n) |
Transaction report number of the
reporter in the year |
Number |
| Transaction/activity number |
Transaction number in the
report |
Max6(n) |
Transaction/activity number in
the report |
Number |
| Grounds for
suspiciousness |
Information on grounds for
reporting |
Max3(x) |
Information on grounds for
reporting according to the Classification |
Code |
| Group of a potential criminal
offence |
Max 3(x) |
Information on the group of
potential criminal offences according to the
Classification |
Code |
| Potential criminal offence |
Max 4(x) |
Information on the potential
criminal offence according to the Classification |
Code |
| Typology description (code) |
Max 4(x) |
Information on the established
activities according to the Classification |
Code |
| Typology description (text) |
Max 250(x) |
Information on the established
activities, text in letters of Latvian or Latin alphabet
without quotation marks or apostrophes |
Text |
| Grounds for suspiciousness |
Max 1500(x) |
Text in letters of Latvian or
Latin alphabet without apostrophes and quotation marks
regarding the substance of the transaction which is not
reflected in other fields |
Text |
| Place where the
suspicious transaction was executed |
Whether the transaction was
executed at the subject (type of a transaction
institution) |
Max(2)x |
Choice of the transaction
institution according to the Classification (reporting
institution, SWIFT or another transaction institution) |
Code |
| Transaction institution
SWIFT |
Max11(x) |
SWIFT code of the legal person
according to the SWIFT standard |
Code |
| Country of registration of the
institution |
Max2(a) |
Country of registration of the
transaction institution (two-letter code) |
Code |
| Registration number of the
institution |
Max32(x) |
Registration number of the
transaction institution in the public register |
Code |
| Information on the
suspicious transaction |
Status of the transaction |
Max64(x) |
Status of the transaction
according to the Classification |
Code |
| Transaction date |
YYYY-MM-DD |
Transaction execution date in
the date format YYYY-MM-DD |
Date |
| End date of the transaction |
YYYY-MM-DD |
Transaction end date in the case
of several transactions in the date format YYYY-MM-DD |
Date |
| Code of the transaction
type |
Max3(x) |
Code of the transaction type
according to the Classification |
Code |
| Reported to the SRS |
Max2(a) |
Whether it has been reported to
the State Revenue Service. Codes: yes/no |
Code |
| Currency of the transaction |
Max3(a) |
Code of the currency of the
transaction according to the Classification |
Code |
| Sum of transaction |
Max16(d) |
Transaction sum in one currency
format 0.00 |
Number |
| Information on the participant
or participants of the suspicious transaction or suspicious
activity |
| Information on the
account of the transaction/activity participant |
SWIFT code of the transaction
participant |
Max11(x) |
SWIFT code of the transaction
participant according to the SWIFT standard |
Code |
| Account of the transaction
participant |
Max32(x) |
Account of the transaction
participant in IBAN format: the maximum length for accounts
in Latvia - 21 character, for other accounts - 32
characters |
Code |
| Indication on the connection of
the transaction/activity participant with the submitter of
the report - the subject of the Law |
My customer |
Max 2(a) |
Indication on the affiliation of
a participant to the reporting institution according to the
Classification "Is it my customer". Codes: yes/no |
Code |
| Role of the transaction/activity
participant |
Role of the person |
Max2(a) |
Role of the person according to
the Classification. Role for the first person in case of
activity is "Customer" |
Code |
| Transaction/activity
participant - legal person |
(1) Name of the legal
person |
Max128(x) |
Name of the legal person in
letters of Latvian or Latin alphabet without quotation marks
or apostrophes |
Text |
| (2) Form of the legal
person |
Max60(x) |
Form of economic activity of the
legal person according to the Classification |
Text |
| (3) Country of registration of
the legal person |
Max2(a) |
Country of registration of the
legal person (two-letter code) |
Code |
| (4) Registration number of the
legal person |
Max32(x) |
Registration number of the legal
person in the public register |
Code |
| (5) Country of residence of the
legal person |
Max2(a) |
Country of address of the legal
person (two-letter code) |
Code |
| (6) Address of the legal
person |
Max128(x) |
Address of the legal person in
letters of Latvian or Latin alphabet |
Text |
| (7) Country of alternative
address of the legal person |
Max2(a) |
Country of alternative address
of the legal person (two-letter code) |
Code |
| (8) Alternative address of the
legal person |
Max128(x) |
Alternative address of the legal
person in letters of Latvian or Latin alphabet |
Text |
| (9) Notes of the legal
person |
Max32(x) |
Notes on the legal person in
letters of Latvian or Latin alphabet without quotation marks
or apostrophes |
Text |
|
Transaction/activity participant - natural person |
(1) Given name of the natural
person |
Max64(x) |
Given name(s) of the natural
person in letters of Latvian or Latin alphabet. Separator
between words - space or hyphen (-) |
Text |
| (2) Surname of the natural
person |
Max32(x) |
Surname(s) of the natural person
in letters of Latvian or Latin alphabet. Separator between
words - space or hyphen (-) |
Text |
| (3) Personal identity number of
the natural person assigned in Latvia |
Max12(x) |
Personal identity number of the
natural person assigned in Latvia |
Code |
| (4) Date of birth of the natural
person |
YYYY-MM-DD |
Date of birth of the natural
person in the date format YYYY-MM-DD |
Date |
| (5) Foreign identification
document of the natural person |
Max32(x) |
Personal identity number of the
natural person assigned in a foreign country |
Code |
| (6) Country of issue of the
foreign identification document of the natural person |
Max2(a) |
Country of issue of the
identification document of the natural person issued outside
Latvia (two-letter code) |
Code |
| (7) Number of the personal
identification document of the natural person |
Max32(x) |
Number of the personal
identification document of the natural person |
Code |
| (8) Country of issue of the
personal identification document of the natural person |
Max2(a) |
Country of issue of the personal
identification document of the natural person (two-letter
code) |
Code |
| (9) Country of address of the
natural person |
Max2(a) |
Country of address of the
natural person (two-letter code) |
Code |
| (10) Address of the natural
person |
Max128(x) |
Address of the natural person in
letters of Latvian or Latin alphabet |
Text |
| (11) Country of alternative
address of the natural person |
Max2(a) |
Country of alternative address
of the natural person (two-letter code) |
Code |
| (12) Alternative address of the
natural person |
Max128(x) |
Alternative address of the
natural person in letters of Latvian or Latin alphabet |
Text |
| (13) Notes of the natural
person |
Max32(x) |
Notes of the natural person in
letters of Latvian or Latin alphabet without quotation marks
or apostrophes |
Text |
| Additional information on each
participant - customer of the subject of the Law - included
in the report on a suspicious transaction or activity |
| Additional
information on the account |
Account number of the
participant |
Max32(x) |
Account of the participant in
IBAN format: the maximum length for accounts in Latvia - 21
character, for other accounts - 32 characters |
Code |
| Type of account of the
participant |
Max3(x) |
Type of account of the
participant according to the Classification |
Code |
| Sub-account number of the
participant |
Max32(x) |
Sub-account of the participant
at the reporting institution in IBAN format or in the format
of the internal system of the institution: the maximum length
- 32 characters |
Text |
| Account of the participant is
opened |
YYYY-MM-DD |
Date of opening the account of
the participant in the date format YYYY-MM-DD |
Date |
| Account of the participant is
closed |
YYYY-MM-DD |
Date of closing the account of
the participant in the date format YYYY-MM-DD |
Date |
| Base currency of the account of
the participant |
Max3(x) |
Base currency of the account of
the participant according to the Classification |
Code |
| Method of opening the account of
the participant |
Max2(x) |
Method of opening the account of
the participant according to the Classification |
Code |
| Balance of the
customer account(s) on the report submission date (including
a negative balance) |
Balance of the participant
account(s) in EUR on the report submission date |
Max16(d) |
Balance of the participant
account in EUR in the currency format 0.00 |
Number |
| Additional information on the
balance of the participant account |
Max120(x) |
Additional information on the
balance of the participant account in letters of Latvian or
Latin alphabet |
Text |
| Additional
information on the activity of the costumer |
Is it a high-risk customer? |
Max2(a) |
Indication on the risk
assessment of the transaction/activity participant in the
reporting institution according to the Classification |
Code |
| Field of economic activity of
the costumer |
Max6(x) |
Field of economic activity of
the transaction/activity participant according to the
Classification |
Code |
| Description of economic activity
of the costumer |
Max200(x) |
Description of economic activity
of the transaction/activity participant in letters of Latvian
or Latin alphabet |
Text |
| Is the costumer linked with
Latvia? |
Max2(a) |
Indication on the link of the
customer with Latvia according to the Classification |
Code |
| Country of initial
identification of the customer |
Max2(a) |
Country of initial
identification of the participant (customer) (two-letter
code) |
Code |
| Information on the
beneficial owner (BO) of the transaction/activity
participant |
Type of BO |
Max12(x) |
Indication on the type of BO
according to the Classification |
Code |
| Data of the natural
person according to the fields "Transaction/activity
participant - natural person" |
| Information on the
group of persons related to the customer |
Category of the related
person |
Max12(x) |
Category of the related person
according to the Classification in a group of mutually
related clients |
Code |
| Data of the natural
person according to the fields "Transaction/activity
participant - natural person" |
| Data of the legal
person according to the fields "Transaction/activity
participant - legal person" |
| Information on the
person who attracted the customer |
Whether the customer has been
attracted through outsourcing |
Max2(a) |
Indication on the attraction of
a transaction/activity participant - whether the customer has
been attracted through outsourcing. Choice according to the
Classification |
Code |
| Data of the natural
person according to the fields "Transaction/activity
participant - natural person" |
| Data of the legal
person according to the fields "Transaction/activity
participant - legal person" |
| Information on the
owners of the customer (for a legal person registered abroad)
on the report submission date |
Date of appointing the owner of
the customer |
YYYY-MM-DD |
Date of appointing the owner in
the date format YYYY-MM-DD |
Date |
| Shares of a legal person (%)
owned by the owner |
Max6(d) |
Shares in per cent in the format
0.00 of the owner of the customer - legal person |
Number |
| Data of the natural
person according to the fields "Transaction/activity
participant - natural person" |
| Data of the legal
person according to the fields "Transaction/activity
participant - legal person" |
| Information on the
relation of the persons included in the report to a
politically exposed person (PEP) |
Whether the person is PEP |
Max6(x) |
Indication - whether the
transaction participant is a politically exposed person
Codes: yes/no/don't know |
Code |
| Relation to PEP |
Max6(x) |
Indication - whether the PEP is
the related person of a customer Codes: yes/no/don't
know |
Code |
| Role of the person related to
PEP |
Max2(a) |
Role of the person according to
the Classification. |
Code |
| Data of the natural
person according to the fields "Transaction/activity
participant - natural person" |
| Annexes to the
report |
Annexes - account statement |
Name of the appended
file |
| Annexes - information on the
customer due diligence |
Name of the appended
file |
| Annexes - information on
transactions |
Name of the appended
file |
| Annex - IP addresses |
Name of the appended
file |
Minister for Finance J. Reirs
Sections I, II, and IV shall be completed by all submitters of
the report. If several transactions are to be included in the
report, Sections III, IV, and V shall be repeated as needed.
| I. |
Information on the submitter (person who has
submitted the report on a suspicious transaction) |
| 1.
Submitter of the report is a legal person |
| 1.1. Name of the
legal person |
|
| 1.2. Registration
number of the legal person |
|
| 1.3. Country of
registration of the legal person |
|
| 2.
Submitter of the report is a natural person |
| 2.1. Given name(s),
surname of the natural person |
|
| 2.2. Personal
identity number (assigned in Latvia) |
|
| 2.3. Date of
birth |
|
| 2.4. Country of
issue of the passport or ID |
|
| 3. Correspondence address |
|
| 4. E-mail |
|
| 5. Reporting date |
|
6. Report number in a year |
|
| II. |
Grounds for suspiciousness |
| 1.
Information on the potential criminal offence (underline as
appropriate) |
Suspicions of money laundering (predicate offence is not
identified) |
Suspicions of a predicate offence and money laundering |
|
Suspicions of a predicate offence |
Suspicions of the provision of professional assistance in
money laundering |
| 2. Group of a
potential criminal offence (according to the Classification
on fid.gov.lv, for example, tax crimes, corruption, financial
crimes etc.) |
|
3. Potential
criminal offence (according to the Classification on
fid.gov.lv, for example, violation of work remuneration
provisions, fraud, misappropriation, etc.) |
|
| 4. Established type
or typology of activity (indicate at least three established
types of activity according to the Classification on
fid.gov.lv) |
1.
2.
3.
|
| 5. Grounds for
suspiciousness |
|
|
III. |
Information on the transaction (if it is known
to the submitter of the report) |
| Information on the place of
transaction (fields 1, 2, 3 or only field 4 shall be
completed) |
| 1. Name of the place
of transaction (institution) |
|
| 2. Registration
number of the place of transaction |
|
| 3. Registration
number of the place of transaction |
|
| 4. SWIFT of the
transaction institution |
|
| Information on the
transaction |
| 1. Transaction date
(dd.mm.yyyy.) |
|
2.
End date of the transaction (if several transactions are
combined) (dd.mm.yyyy.) |
|
| 3. Status of the
transaction (underline as appropriate) |
Planned
Commenced
Deferred
|
Proposed
Approved
Executed
|
Consulted
Other
________________
|
| 4. Code of the
transaction type (according to the Classification on
fid.gov.lv, for example, lending, cash transfer, etc.) |
|
5. Sum of
transaction
(0.00) |
|
6. Currency
(three-letter code) |
|
7. Specific
notes
(if necessary, underline as appropriate) |
Terrorism
financing or proliferation financing |
Relation to a
politically exposed person |
Reported also to the law
enforcement institutions |
| IV. |
1. Performer of the transaction (in transactions
without movement of money (insurance, currency exchange,
winnings, etc.))
2. Sender (in transactions with movement of
money)
|
| Information on the account of the
sender/performer of the transaction |
1. SWIFT code of the
sender/performer of the transaction |
|
| 2. Account number of
the sender/performer of the transaction |
|
|
Legal person -the performer of the transaction or
sender |
3. Name of the legal
person with the abbreviated name of the type of economic
activity (Ltd, JSC, sole proprietorship, etc.) at the
end |
|
| 4. Registration
number of the legal person |
|
| 5. Two-letter code
of the country of registration of the legal person |
|
| 6. Address of the
legal person |
|
| 7. Two-letter code
of the country of address of the legal person |
|
| 8. Alternative
address of the legal person (if there are several) |
|
| 9. Two-letter code
of the country of alternative address of the legal
person |
|
| Additional information on the
legal person |
|
| Natural person - the performer of the
transaction or sender, or the authorised person of the legal
person |
10. Given
name(s) |
|
| 11. Surname |
|
| 12. Personal
identity number |
|
| 13. Country where
the personal identity number is assigned |
|
| 14. Date of birth
(dd.mm.yyyy.) |
|
| 15. Number of the
personal identification document |
|
| 16. Two-letter code
of the country of issue of the personal identification
document |
|
| 17. Foreign ID of
the person (if known) |
|
| 18. Two-letter code
of the country of issue of the foreign ID of the person |
|
| 19. Address of the
person |
|
| 20. Two-letter code
of the country of address of the person |
|
| 21. Alternative
address of the person (if there are several) |
|
| 22. Two-letter code
of the country of alternative address of the person |
|
| Additional information on the
natural person |
|
| V. |
Recipient of the
money (this section shall be filled in only if movement
of money is reported;
not to be filled in when reporting on insurance, currency
exchange, winnings, etc.) |
| Information on the
account of the recipient of the money |
1. SWIFT code of the
recipient account |
|
| 2. Recipient account
number |
|
| Legal person - recipient of the
money |
3. Name of the legal
person with the abbreviated name of the type of economic
activity (Ltd, JSC, sole proprietorship, etc.) at the
end |
|
| 4. Registration
number of the legal person |
|
| 5. Two-letter code
of the country of registration of the legal person |
|
| 6. Address of the
legal person |
|
| 7. Two-letter code
of the country of address of the legal person |
|
| 8. Alternative
address of the legal person (if there are several) |
|
| 9. Two-letter code
of the country of alternative address of the legal
person |
|
| Additional information on the
legal person |
|
| Natural person - the recipient of the
money or the authorised person of the legal person |
10. Given
name(s) |
|
| 11. Surname |
|
| 12. Personal
identity number |
|
| 13. Country where
the personal identity number is assigned |
|
| 14. Date of birth
(dd.mm.yyyy.) |
|
| 15. Number of the
personal identification document |
|
| 16. Two-letter code
of the country of issue of the personal identification
document |
|
| 17. Foreign ID of
the person (if known) |
|
| 18. Two-letter code
of the country of issue of the foreign ID of the person |
|
| 19. Address of the
person |
|
| 20. Two-letter code
of the country of address of the person |
|
| 21. Alternative
address of the person (if there are several) |
|
| 22. Two-letter code
of the country of alternative address of the person |
|
| Additional information on the natural person |
|
|
VI. |
Another
participant of the transaction (the fields of Section VI
are repeated as needed) |
| Role of another
participant in the transaction (beneficial owner, organiser,
etc.) |
|
| Information on the account of another
participant |
1. SWIFT code |
|
| 2. Account
number |
|
|
Another person - legal person |
3. Name of the legal
person with the abbreviated name of the type of economic
activity (Ltd, JSC, sole proprietorship, etc.) at the
end |
|
| 4. Registration
number of the legal person |
|
| 5. Two-letter code
of the country of registration of the legal person |
|
| 6. Address of the
legal person |
|
| 7. Two-letter code
of the country of address of the legal person |
|
| 8. Alternative
address of the legal person (if there are several) |
|
| 9. Two-letter code
of the country of alternative address of the legal
person |
|
| Additional information on the legal person |
|
|
Another natural person - the participant of the
transaction |
10. Given
name(s) |
|
| 11. Surname |
|
| 12. Personal
identity number |
|
| 13. Country where
the personal identity number is assigned |
|
| 14. Date of birth
(dd.mm.yyyy.) |
|
| 15. Number of the
personal identification document |
|
| 16. Two-letter code
of the country of issue of the personal identification
document |
|
| 17. Foreign ID of
the person (if known) |
|
| 18. Two-letter code
of the country of issue of the foreign ID of the person |
|
| 19. Address of the
person |
|
| 20. Two-letter code
of the country of address of the person |
|
| 21. Alternative
address of the person (if there are several) |
|
| 22. Two-letter code
of the country of alternative address of the person |
|
| Additional information on the natural person |
|
|
VII. |
Annexes |
| Type
of Annex |
Number of pages |
| Copy of the personal
identification document |
|
| Copy of the
registration certificate |
|
| Account
statement |
|
| Copy of the
contract |
|
| Transaction
scheme |
|
| Other
_______________ |
|
Minister for Finance J. Reirs
