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LEGAL ACTS OF THE REPUBLIC OF LATVIA
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Republic of Latvia

Cabinet
Regulation No. 408
Adopted 27 August 2019

Regulations Regarding the Procedures for Submitting Reports on Suspicious Transactions

Issued pursuant to
Section 31, Paragraph two of the Law
on the Prevention of Money Laundering
and Terrorism and Proliferation Financing

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and the Procedures for Submitting Reports on Unusual or Suspicious Transactions (Latvijas Vēstnesis, 2019, No. 137), is repealed.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

 

Annex 1
Cabinet Regulation No. 408
27 August 2019

Content of the Sample Form of the Report on a Suspicious Transaction

(to be submitted on zinojumi.fid.gov.lv)

*a = letter; x = letter, digit, or symbol; d = decimal; n = digit

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

 

Annex 2
Cabinet Regulation No. 408
27 August 2019

Report on a Suspicious Transaction

(to be submitted in paper format)

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


Translation © 2020 Valsts valodas centrs (State Language Centre)

 
Document information
Title: Noteikumi par kārtību, kādā sniedzami ziņojumi par aizdomīgiem darījumiem Status:
No longer in force
no longer in force
Issuer: Cabinet of Ministers Type: regulation Document number: 408Adoption: 27.08.2019.Entry into force: 17.12.2019.End of validity: 01.10.2021.Publication: Latvijas Vēstnesis, 182, 06.09.2019. OP number: 2019/182.7
Language:
LVEN
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