Regulatory Alerts2010-06-15
Instruction COSOB No. 10-01 of June 15, 2010, regarding documents and information the SGBV must transmit to the COSOB
The Commission of Securities and Options Board (COSOB) issued Instruction No. 10-01 to define the specific documents, content, and transmission schedules that the Securities Exchange Management Company (SGBV) must provide to ensure effective market oversight. The instruction mandates the submission of annual financial reports, quarterly activity reports, monthly block transaction statements, and immediate notifications of technical incidents, alongside various organizational and contractual documents upon modification. These requirements enable the COSOB to monitor regulatory compliance, assess market risks, and consolidate data for comprehensive market supervision.
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