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Latvia Investment Services License

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Latvia Investment Service Providers

Latvia offers a well-regulated and EU-aligned environment for investment service providers, overseen by the Financial and Capital Market Commission (FCMC), which is responsible for licensing and supervising all entities providing investment services within the country. As a full EU member state, licensed Latvian investment service providers benefit from MiFID II passporting rights, allowing them to offer their services across all EU member states under a single authorization.

The licensing process requires applicants to demonstrate adequate capital, qualified and fit and proper management, and a robust compliance framework covering AML, CFT, and conduct of business standards before authorization is granted. Neptune Fiduciaries helps clients obtain their investment service provider license in Latvia, managing the complete application process and ensuring full compliance with all FCMC requirements from the very beginning.

Core Investment Services Available to Licensed Firms

Reception and Transmission of Orders

Licensed investment firms can receive and transmit client orders for financial instruments to other authorized entities for execution, acting as an intermediary between investors and execution venues in full compliance with FCMC standards.

Execution of Client Orders

Firms authorized for order execution can buy and sell financial instruments on behalf of clients across regulated markets, multilateral trading facilities, and other execution venues in accordance with best execution requirements.

Portfolio Management Services

Licensed investment firms can manage client investment portfolios on a discretionary basis, making investment decisions on behalf of retail and institutional clients in line with agreed mandates and applicable regulatory standards.

Investment Advisory Services

Authorized firms can provide personalized investment recommendations to clients based on their financial situation, risk appetite, and investment objectives, ensuring all advice meets the conduct of business standards set by the FCMC and MiFID II.

Neptune Fiduciaries provides complete support for obtaining an investment service provider license in Latvia, handling all documentation and regulatory communication on your behalf to ensure a smooth and timely approval from the FCMC.

For further details, please contact Neptune Fiduciaries via email info@neptunecorporate.com or sales@neptunecorporate.com or visit our contact page.

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