SBS opens public consultation to record the risk of brokers
2 marzo 2018

The Superintendence Stock Market (Superintendencia de Mercado de Valores – SMV) opened a public consultation on the preliminary draft of Modification of the Financial Information Manual for the Agents of Intermediation. These brokerage agencies are the corporations that are engaged in the intermediation of securities in the market, such as brokers and intermediary securities companies.

The regulatory proposal seeks that these entities present in detail the different sources of operational income to the SMV, in order to obtain the information of the net risk profile of the supervised agencies.

In turn, it seeks to indicate the risk exposure for the main services provided to customers, in order to deepen the planning and execution of the supervision of the state authority over these companies.

The text is available for consultation until March 28th, 2018 at the Stock Market Portal. After that date, the institution will study the recommendations made, in order to decide whether they will be included in the final draft of the manual or not.

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