The CHL CMF requires reporting applicable to securities issuing entities that are registered in the Registry maintained by this Service, among them, Circular No. 995.
Circular 995 contains monthly information on status of bond issues and placements.
Although the information is currently sent to the Commission, it is received in formats that do not facilitate its processing, making its analysis and inspection difficult.
It is necessary to modify the format and the way of sending the information associated with the status of issues and placements of bonds registered in the Securities Registry.
This without altering the content of the information currently required of these entities.
To make its analysis of data, process of reporting more efficient, it is updating rules.
Report Per Standard 275
CHF CMF issued regulations to require reporting by external audit companies (EAE). registered with the Commission, among them, the General Standard (NCG) No. 275.
NCG 275 requires information regarding the client portfolio of the EAE be reported.
Although the information is currently sent to the Commission, it is received in formats that do not facilitate its processing, making its analysis and inspection difficult.
In order to optimize the reception of information and allow oversight resources to be focused on the analysis of the information received, CHL CMF needs to update rules.
Update rules by modifying the format and way of sending the requisite information.
It is not altering the content of the information currently required of these entities.
Consultation
Comments are due on or before Aug. 16, 2024.
Oct. 11, 2024 CHL CMF Final Regulations
On Oct. 11, 2024, CHL CMF published Resolution 9843 to approve Circular 2358 that modifies the format to send information on the status of bond issues and placements.
Issues and placements registered in Securities Registry corresponding Circular 995.
Resolution 9484 approved General Standard 518 to modify format and form of sending data re the client portfolio of external auditing companies corresponding to NCG 275.
Both regulatory reports optimize data reception and allow audit focused on analysis.
Circular 2358 in force on Dec. 1, 2024 for the submission of information for Nov. 2024.
In addition, General Standard 518 shall come into force on Dec. 1, 2024.
Regulators
CHL CMF
Entity Types
Auditor; B/D; Corp; IA
Reference
Cir 2358, 10/11/2024; NCG 518, 10/10/2024; Res 9484, Res 9483, 10/9/2024; PR, CP, 7/22/2024; NCG 275; Cir 995
