Regulatory Alerts2017-11-03
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Resolution of the General Superintendence for Prudential Compliance No. 091-2017
The Superintendence of the Securities Market (SMV) dismissed the administrative sanctioning procedure against Larraín Vial Sociedad Agente de Bolsa S.A. regarding a late disclosure of a relevant fact concerning a capital stock modification. The regulator determined that the entity had actually submitted the required notification on the deadline date, April 23, 2015, thereby complying with Articles 97 and 98 of the Intermediary Agents Regulation. Consequently, the SMV declared that the entity did not commit the minor infraction defined in Annex X, numeral 3, item 3.14 of the Sanctions Regulation.
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