Regulatory Alerts2007-02-06
General Operations Journal and General Operations Register Tables
The regulatory authority mandates the use of two standardized tracking tables, the General Operations Journal and the General Operations Register, to systematically record all securities transactions. These tables require detailed reporting of account identifiers, transaction and registration dates, debit/credit balances, attached voting and dividend rights, ownership origins, encumbering restrictions, and approved administrative intermediaries. By standardizing these data fields across trading, registration, and judicial sales, the framework ensures precise auditability and transparent tracking of securities ownership and associated rights.
Table No. 1 The General Operations Journal Security category: …………………………… Account No. Operation Date Registration/Recording Date Direction of the Operation Attached Rights in Securities Name and Surname / ID No. (CIN), Passport No., Tax ID No. (IRC) Nationality Previous Balance Debit / Credit Type of Operation * Origin of Ownership ** Voting / Dividend Entitled Parties Restrictions Start - End *** New Balance Reference of Counterparty Accounts Debited/Credited Approved Administrative Intermediary
- Type of Operation: trading, registration, judicial sale, … ** Origin of Ownership: purchase, subscription, free allocation, inheritance, … *** Restrictions encumbering securities: pledge, seizure, inalienability, …
Table No. 2 The General Operations Register Security category: …………………………… Account No. Number of Securities Attached Rights in Securities Name and Surname / Address / ID No. (CIN), Passport No., Tax ID No. (IRC) Nationality Operation Date / Debit / Credit / Date of Acquisition of Securities and Origin of Ownership * Voting / Dividend / Entitled Parties Restrictions Start - End *** Restrictions Start - End ** Approved Administrative Intermediary
- Date of Acquisition of Securities and Origin of Ownership: purchase, subscription, free allocation, inheritance, … ** Restrictions encumbering securities: pledges, seizure, inalienability, …