Regulatory Alerts2010-10-13 | CD-SIBOIF-649-2-OCTU13-2010Added · Updated
Norm on the Operation of Stock Exchanges and Their Agents
This resolution establishes the authorization requirements, operational standards, and fiduciary duties for stock exchanges and their agents. It mandates specific infrastructure, risk management policies, and automated systems for order execution, while defining strict eligibility criteria and disqualifications for agents. The document further regulates portfolio management, client record-keeping, and the handling of conflicts of interest to ensure market integrity and client protection.
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