Regulatory Alerts2016-02-09 | DOF 5424746Added
Resolution modifying the general provisions applicable to financial entities and other persons providing investment services
The CNBV amends the general provisions for financial entities and investment advisors, introducing specific rules for generalized investment recommendations, mandatory record-keeping of verbal advice, and detailed conflict of interest policies. It establishes a distinct regulatory regime for investment management services provided to issuers of indexed fiduciary trust certificates that do not seek returns exceeding their reference index. The resolution sets staggered effective dates for compliance, ranging from March 31, 2016, to January 1, 2017, depending on the specific articles and annexes modified.
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