Regulatory Alerts2004-05-05
Order No. 15 of 05.05.2004 on the Maintenance and Preservation of Registers by the Commission on Financial Supervision and on Circumstances Subject to Registration
The Commission on Financial Supervision issued Order No. 15 of 05.05.2004 to establish the procedures for maintaining, preserving, and providing public access to its electronic registers and card indexes for regulated financial entities. The regulation mandates that all listed entities, including investment intermediaries, insurers, market operators, and alternative investment fund managers, must submit registration applications and report changes within seven days via standardized electronic or paper forms. It further specifies the exact data points subject to registration, such as corporate identifiers, governance structures, licensing decisions, and imposed sanctions, while guaranteeing free public access to the registered information through the Commission’s official website and on-site facilities.