The CNMV publishes Technical Guide 1/2020, on the procedures and criteria to be followed by SGIICs to select intermediaries and counterparties involved in the execution of transactions.

This technical guide has been approved by the CNMV on 3 February 2020, whose criteria will be taken into account in its future supervisory actions. The criteria highlighted by the CNMV derive from its supervisory experience. 1.- SCOPE OF APPLICATION The Guide refers to the operations carried out bythe SGIICs forthe CIIs and other client …

The CNMV publishes Technical Guide 1/2020, on the procedures and criteria to be followed by SGIICs to select intermediaries and counterparties involved in the execution of transactions. Read More »