Regulatory Alerts1998-01-19
Added · Updated
Circular D4/EB/5: Particular Mechanisms (97/4 and 97/5)
The document transmits two circulars to stock exchange auditors: Circular 97/4 updates the non-exhaustive list of practices constituting particular mechanisms under Article 104 of the Law of 6 April 1995, originally issued by the Brussels Stock Exchange in 1976; Circular 97/5 requires investment firms to implement a tax prevention policy and periodically verify its application and adherence to integrity and deontology rules. Specifically, stock exchange companies lacking an internal audit service must entrust this periodic control to their statutory auditor. These requirements apply to investment firms and stock exchange companies under the supervision of the Banking and Financial Commission.
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