Press Release

The independent consultant (HIPE) becomes larger: ask to be manager or brokerage

Something is changing in the Spanish stock market . In recent months , we are taking several steps that will be an open business opportunities for small operators and independent consultants . The main novelty , the sources consulted by this means , being the supervisor is accelerating the procedures for independent advisors, whose works […]

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The CNMV lightens communication processes and prior authorization of management companies and ESI

Having been open to public comments, the BOE issued Circular 1/2013, of 30 January, the CNMV, on communication of information on ESI and its parent companies and SGIIC (the “Circular”). This new wording shall enter into force on March 11. Check here the text published in the BOE. “The obligation to notify the CNMV those

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The CNMV transfers responsibility to audit firms of investment companies

“The circular broadens the responsibility of auditors in relation to clients’ investment positions”, stated Tomás Gómez, partner and director of GOMARQ Consulting. […] This circular is in line with others approved recently on internal control and half-yearly reports by custodians [companies which hold investors’ securities]. “The CNMV is setting up an oversight system wherein all

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