Securities Market Self-Regulator unifies recommendations for application by intermediaries
9 junio 2022


On June 2, the Colombian Securities Market Self-Regulator published in public consultation a guide of recommendations oriented to the fulfillment of the duties of intermediaries in the securities and foreign exchange markets. The purpose of the document is to generate regulatory efficiency and facilitate the implementation of the recommendations issued by the entity. The Self-Regulator published the recommendations guide to unify in a single document all its manuals and guides and, in this way, promote the raising of standards of regulated members. The regulation is divided into seven chapters: compliance and control; clients; conflicts of interest; reserve and confidentiality; separation of assets; market abuse; and Fx Global Code. The consultation will be open for comments until July 5 through [email protected].

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