Regulatory Alerts2020-02-20
Circular 01-2020 Reference: Risk Management Self-Evaluation Questionnaire for Securities Houses, Investment Administrators, and Pension and Severance Fund Administrators
The Superintendence of the Securities Market (SMV) of Panama issued Circular No. SMV-1-2020 requiring Chief Executives and Compliance Officers of securities houses, investment administrators, and pension and severance fund administrators to complete and submit a Risk Management Self-Evaluation Questionnaire via the SMV website. Regulated entities must download the appropriate template, populate it with required qualitative data and supporting documentation, rename the files according to specific entity codes, and upload them through the designated portal link. The submission deadline is thirty calendar days, running from February 27, 2020, to March 28, 2020, with an accompanying instructional guide provided for navigation and file upload.
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