Regulatory Alerts2026-01-13
Regulation for Securities Intermediaries, modified by Resolution R-CNMV-2025-30-MV
The Dominican Republic's Superintendence of the Securities Market issued this regulation to establish the authorization, operational requirements, and definitions for securities intermediaries and brokers under Law No. 249-17. The document defines key financial terms, including risk-weighted assets, capital adequacy indices, and various types of securities placement contracts, while mandating strict documentation and legalisation procedures for foreign entities. It further outlines the mandatory licensing tiers for brokers and the administrative protocols for application evaluation and registration maintenance.
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