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Securities account

Securities account

The securities account is where securities are held and where settlements for concluded securities transactions are conducted. With a securities account, you can make investments in Baltic and global securities markets.

To open a corporate securities account:

  1. Apply for securities account opening at a branch.
  2. Check if you need to register for the LEI code.

Good to know! LEI code is not required when purchasing Robur fund units.

If you have any further questions, don’t hesitate to sign up for a video consultation at a time convenient for you.

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  • Sell and purchase securities,
  • Effect reliable for all transactions,
  • View or receive securities from third parties,
  • Use Swedbank Securities Account for holding all publicly available securities of the Baltics and the world,
  • De-register or receive the shares obtained during privatisation of the company to the customer's Securities Account. It is also possible to de-register own shares to a Securities Account of another person. In such event the customer signs a de-registration application indicating that the recipient of securities is another customer of the bank,
  • Receive a unified Securities Account statement on all transactions performed and the status of the securities portfolio.

In order to conclude deals with financial instruments, legal entities will need a LEI code

With the aim of fostering enlarged financial market transparency and predictability as well as the protection of the market participants from potential global financial turbulence, European Union legislative bodies have adopted several directives and regulations which are aimed at strengthening the sustainability of the global financial system.

Thus, from the 3rd of January 2018 MiFID II (Markets In Financial Instruments Directive) directive will enter into force and will stipulate that in the future legal entities which will conclude deals with financial instruments will need an additional unique international identifier - LEI (Legal Entity Identifier) - this code will be required in addition to the existing legal entity registry code which is issued by a register of legal entities of a particular country. The LEI code will be issued by international LEI issuing organizations. In the future the LEI code will serve as a global sign of recognition for those legal entities or organizations which conclude deals with financial instruments.

However, according to EMIR (European Market Infrastructure Regulation) requirement of having a LEI code will come into force already from the 1st of November, 2017.

Hereby we offer the answers to questions which you might have in relation to this to ensure a possibly simpler and timelier preparation for the new requirements.

LEI (Legal Entity Identifier) is an international 20-digit alphanumeric code which will be given to legal entities which conclude deals with financial instruments. Each code will be unique and will not change for the whole time of the operation of a particular legal entity. LEI code will not substitute the code issued by the register of legal entities which will serve as the main identifier of a company also in the future.

Starting from the 1st of November, 2017, the LEI code will become a mandatory international identifier for all legal entities which will conclude deals with financial instruments such as, for instance, FX forwards, FX swaps, FX OTC options, interest rate swaps (IRS) as well as futures and exchange traded option transactions.

Furthermore, starting from the 3rd of January, 2018, the LEI code will be required also for those legal entities which conclude deals with the Exchange traded financial instruments in European Economic area – for example, equities, fixed income instruments and exchange traded funds.

  • Over-the-counter traded derivative financial instruments such as, for example, FX forwards, FX swaps, interest rate swaps (IRS), interest rate options, commodity swaps and options;
  • Exchange traded derivative financial instruments such as, for example, options and futures;
  • Financial instruments which are tradable within European Economic area– for example, equities, bonds and exchange traded funds (ETF).

After the financial crisis of 2009 an international agreement was attained – it envisioned a need for new instruments for maintaining the sustainability of the global financial system, deeper monitoring and ensuring of higher financial market transparency.

In order to receive a LEI code, you will have to choose one of the internationally LEI issuing organizations which have a right to issue LEI codes to legal entities. Some examples of LEI issuing organizations where you can obtain for a LEI: NordLEI, WM Datenservice, Bloomberg, full list of issuers you can find https://www.gleif.org.We recommend you to review several LEI code issuer offerings to get acquainted with the procedures of LEI code issuance of each of these organizations as well as the expected costs.

After you have chosen a certified LEI issuing organization, you have to submit and confirm the required information about your legal entity on the website of the LEI issuing organization.

Usually a LEI code is issued within 2 weeks.

If no new deals with financial instruments will be concluded, then the LEI code is not necessary, however, if new deals will be concluded then LEI code will be required. The requirement will also be in force when a transfer of financial instruments from the company’s securities account will be made.

It has been determined that the LEI code will have a registration as well as an annual subscription fee. Thus, when choosing a LEI code issuer, we suggest evaluating the procedures of the LEI code issuance of a particular organization as well as the associated costs.

If a legal entity will not have LEI code until the 1st of November, 2017, or, correspondingly, until the 3rd of January, 2018, it will not be possible to conclude deals with financial instruments.

In order to ensure smooth continuity of transactions without disturbances we recommend once you have received LEI code to notify Swedbank via e-mail: emir@swedbank.lv.

In order to ensure the conclusion of the deals with financial instruments, an automatic LEI code verification will be introduced in the internet bank. Correspondingly, when receiving an order about a deal with financial instruments via phone, the bank will verify the LEI code which is in force before the conclusion of a deal.

If you have any additional questions about the future setup of the conclusion of financial market deals, please contact us via e-mail: emir@swedbank.lv or by calling + 371 6744 4141.

  • Safekeeping fee is calculated based on the value of the portfolio on the last date of the calendar month. Securities are priced according to the month end prices of the Bank’s local agents, market price or nominal value. Bonds are priced at nominal value. Fees are debited on the 20th or later date of the following month from the Client’s cash account linked to the securities account.
  • If Client only holds securities of Estonian, Latvian or Lithuanian companies under liquidation or bankruptcy proceedings according to the Nasdaq CSD SE data, no safekeeping fee is charged.
  • ETF safekeeping fee equals to the safekeeping fee of its trading country.
  • Safekeeping of Depositary Receipts (ADR, GDR) is subject to the respective DR Agent’s fees in addition to safekeeping fees.
  • Monthly minimum safekeeping fee is applied for each global market and for each security type for Latvian market.
  • Tax relief at source / tax reclaim and general meeting services are subject to availability on each specific market.
  • Maintenance fee of an owner account is charged in addition to monthly securities safekeeping fee. Owner account is an account in the name of the Client opened at Nasdaq CSD SE and used only on behalf of the specific Client.
  • Owner account at Nasdaq CSD SE may be opened only at the branch office.
Further information on securities accounts and transactions and payable and paid charges is available from the Bank.
If the Bank is obliged to pay taxes, fees, interest, penalties or incur other costs (that are not covered in the Bank’s price list below) for the provision of securities safekeeping and transaction services to the Client, the Bank shall have the right to debit such amounts from the Client’s Cash Account without Client consent.
Service Price, EUR
Receiving
Account opening 4.50 Securities accounts for legal persons can be opened only at branch office
Account statements
Statement of holdings 0.00-7.00 Via Internet Banking - Free of charge
At branches – 7.00
Statement of transaction 0.00-7.00 Via Internet Banking - Free of charge
At branches – 7.00
Monthly Securities Safekeeping Fees options
Monthly safekeeping Fee Monthly Minimum per market
Latvia
Latvia - Government debt securities 0.0025% min. 1.00
Latvia - other debt securities 0.0075% min. 1.00
Latvia - shares, investment funds, rights, privatization certificates 0.015% min. 1.00
Other countries
Estonia, Lithuania 0.008% min. 1.00
Eurobonds 0.01% min. 1.00
Czech Republic, Hungary, Poland 0.025% min. 1.00
Austria, Belgium, Canada, Denmark, Finland, France, Germany, Ireland, Italy, Netherlands, Norway, Portugal, Spain, Sweden, Switzerland, UK, USA, Depositary Receipts (ADR, GDR) 0.015% min. 1.00
Russia 0.04% min. 30.00
Other countries Subject to agreement
Swedbank Group funds Free of charge
Other investment funds 0.015% min. 1.00
Other services options
Owner account opening at Nasdaq CSD SE 50.00
Owner account monthly account maintenance 50.00
Tax relief at source / tax reclaim Subject to agreement
Participation in general shareholder’s meeting Subject to agreement
Closing
All securities account types Free of charge
Transactions with securities See Securities and Other Exchange-traded financial instruments
Transactions with investment fund units See Investment Funds

Effective from 09.12.2019.

The Customer, by entering into this Agreement, confirms that:

A convenient way of investing the company’s spare money in a diversified and sustainable manner.

Wide variety of Baltic and global stocks.

Extra security for the employees, prestige and tax benefits for the company.

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