Friday March 27 2015

News Source: Global Exchanges

Focus: Other

Type: General




The Superintendencia Valores Y Seguros (SVS) has published General Rule (NCG) No. 380 which regulates the actions of brokers, securities dealers.

The rule`s main objective is to raise the standards governing the relationship of intermediaries with their customers through higher demands on the contractual relationship between intermediaries and users; transparency in the implementation of trading; detection and resolution of conflicts of interest; customer knowledge, and maintaining records with supporting documentation.

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