Regulatory Alerts2018-04-26 | DOF 5520814Added
Resolution modifying the general provisions applicable to brokerage houses
The National Banking and Securities Commission amends the general provisions for brokerage houses by updating the definition of independent external auditor and strengthening the composition, independence, and operational requirements of audit committees. The resolution repeals the chapter on external financial auditing (Articles 187-200), transferring regulatory oversight to a separate normative body for entities contracting external audit services. It also establishes specific deadlines for the submission of consolidated financial statements and reports to the Commission.
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