RegAlert

Rule · SMV · 15 Jun 2021

Circular 02-2021 Update of Structure Form (DS-11)

disclosure
securities

The Superintendence of the Securities Market (SMV) of Panama mandates licensed Securities Houses to utilize the updated version of the Structure, Correspondency, and Custody Form (DS-11). This form must be submitted monthly via the Electronic Information Submission System (SERI) by the 15th of the following month, with the new requirement effective July 15, 2021. The updated form and its usage guide are available on the SMV website under the designated SERI sections.

PanamaSuperintendencia del Mercado de Valores Panama

Panama, June 14, 2021
Circular SMV-002-2021

To
Chief Executives and
Compliance Officers of Securities Houses

Subject: Update of the Structure Form (DS-11)

Dear Sirs:

Entities licensed as Securities Houses must use the new version of the "Structure, Correspondency, and Custody (DS-11)" Form, which will be submitted through the Electronic Information Submission System (SERI) on a monthly basis, no later than the 15th day of the following month, starting on July 15, 2021.

In this regard, you may find the following on the website of the Superintendence of the Securities Market:

  • Current version of the Form, located in the "SERI Forms" section - Securities Houses.
  • Guide for its use, located in the SERI section, SERI Guides, Securities Houses, titled "Field Format of the 'Structure, Correspondency, and Custody (DS-11)' Form" of Securities Houses.

Finally, we inform you that we are at your disposal to address any inquiries or doubts regarding this matter, through the email address info@supervalores.gob.pa

Legal Basis: Single Text of Law Decree 1 of July 8, 1999, Agreement 10-2013 of December 10, 2013, Agreement 1-2021 of May 26, 2021, and other regulatory Agreements.

Sincerely,

[Signature]

Julio Javier Justiniani
Superintendent
Superintendence of the Securities Market

50th Street, P.H. Global Plaza Building, 8th Floor. Tel.: (507) 501-1700 Fax: (507) 501-1709 www.supervalores.gob.pa P.O. Box 0832-2281 WTC Panama, Republic of Panama.

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RegAlert holds no document that amends or replaces this one. This is not a check that it is in force: confirm with the regulator.

Agreement 1-2021 of May 26, 2021Not in RegAlertAgreement 1-2021 of May 26, 2021 — Not in RegAlertAgreement 10-2013 of December 10,2013Not in RegAlertAgreement 10-2013 of December 10, 2013 — Not in RegAlertCircular 02-2021 Update ofStructure Form (DS-11)2021-06-15 · this documentCircular 02-2021 Update of Structure Form (DS-11) (2021-06-15)
amendssupersedesissued underrefers todashed card: not in RegAlert (or proposed)arrows run from the older text to the one that changes it
The links and the sentences they come from (2)
Issued under
  • Agreement 1-2021 of May 26, 2021Not in RegAlert

    “Legal Basis: Agreement 1-2021 of May 26, 2021”

  • Agreement 10-2013 of December 10, 2013Not in RegAlert

    “Legal Basis: Agreement 10-2013 of December 10, 2013”

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Source: Superintendencia del Mercado de Valores Panama — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works

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