Regulatory Alerts2010-03-09 | CD-SIBOIF-618-2-MAR9-2010Added · Updated
Norm on Organization and Operation of the Securities Registry of the Superintendence of Banks and Other Financial Institutions
The Board of Directors of the Superintendence of Banks and Other Financial Institutions establishes the organization, functioning, and information requirements for the Securities Registry to ensure market transparency and investor protection. The regulation mandates that all natural or legal persons participating in the securities market, except investors, must register, and defines the specific minimum data required for entities such as stock exchanges, brokerage firms, investment funds, and securities issuances. It outlines principles governing the registry, including publicity and legality, and details procedures for account suspension and cancellation, with the norm entering into force three months after its publication in the Official Gazette.
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