Regulatory Alerts2022-12-14
Added · Updated
Agreement 13-2022 Listing Forms and Reports to be Submitted to the Securities Market Superintendence
The Securities Market Superintendence of Panama issued Agreement 13-2022 to systematically list and update the mandatory forms and reports that various regulated entities must submit. The agreement specifies the exact periodicity, regulatory basis, and delivery medium (primarily the SERI electronic system) for entities including Securities Houses, Investment Advisors, Investment Managers, AFPs, Self-Regulatory Organizations, Price-Providing Entities, Risk Rating Entities, Issuers, and Investment Companies. Additionally, it mandates compliance with anti-money laundering and terrorism financing prevention questionnaires for all applicable regulated subjects.
More like this from SMV
SMV published 8 documents in the last 30 days. We email you each new one the day it's published.