Responsible for regulatory compliance

The purpose of the capital market law is its development and the regulation of the subjects and negotiable securities included in it.

For this purpose, it seeks:

• Promote the participation in the capital market of investors, trade unions, business associations and chambers, professional organizations and all public savings institutions, especially favouring mechanisms that encourage national savings and their channelling towards productive development
• Strengthen mechanisms for the protection and prevention of abuses against investors, within the framework of the protective function of consumer law
• Promote access to the capital market for small and medium-sized companies.
• Promote the creation of a federally integrated capital market, through access and connection mechanisms -with standardized communication protocols- of the computer systems from the different areas of negotiation, with the highest technology standards
• Promote the simplification of trading for users and thus achieve greater liquidity and competitiveness in order to obtain the most favourable conditions when carrying out operations
• Reduce systemic risk in the capital markets through actions and resolutions aimed at having safer markets in accordance with the best international practices
• Promote the integrity and transparency of capital markets
• Promote financial inclusion.

Once authorized and registered with the Commission, the Agents must comply with all the requirements demanded by the Commission during the term of validity of their registration.

At Grant Thornton we offer the service of acting as "Responsible for Regulatory Compliance and Internal Control" for companies that requested registration as Settlement and Clearing Agent and Trading Agent. Our tasks, according to what is required by the Financial Services Authority (Cámara Nacional de Valores – CNV), will include:

• Control and evaluate the adequacy and effectiveness of the measures and procedures established in accordance with the obligations resulting from the law and related regulations
• Monitor the effectiveness of the internal control mechanisms, procedures, policies and methods that the Agent uses in its activities, as well as propose the measures to be adopted in order to correct any possible deficiency detected
• Control compliance with the Code of Conduct
• Submit to the Commission, within the stipulated period, a report with the results of the examinations carried out during the same as a result of the functions in charge
• Verify that customer complaints and/or reports are addressed by the Public Relations Officer and that they have been reported to the Administrative Body, the Supervisory Body and the Commission.
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