R-CNMV-2026-09-MV — Investor Protection Regulation

The National Council of the Securities Market approved the Investor Protection Regulation, establishing a comprehensive normative framework that defines investor rights and market participant obligations, regulates complaint procedures, and sets standards for advertising, internal governance, conflict of interest management, and personal data protection. The regulation applies to investment advisors, securities intermediaries, and mutual fund management companies, with specific principles and advertising rules extending to all market participants. The approval follows a public consultation period and incorporates adjustments based on stakeholder feedback and regulatory analysis.

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Superintendencia del Mercado de Valores de la República Dominicana CERTIFICATION

The undersigned, Mr. Ervin Novas Bello, Manager of the Central Bank of the Dominican Republic (hereinafter "Central Bank"), on behalf of the Governor of the Central Bank, ex officio member and President of the National Securities Market Council (hereinafter "Council"); and Mrs. Fabel María Sandoval Ventura, Secretary of the Council,

CERTIFY that the text below constitutes a faithful and complete transcription, conforming to the original of the First Resolution, R-CNMV-2026-09-MV, adopted by the Council in the meeting held on the twenty-third (23) day of June of the year two thousand twenty-six (2026), which is kept in the archives of this Secretariat, namely:

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