Cabe destacar que la RG N° 1033, incluyó modificaciones al régimen informativo para residentes y no residentes, aplicable a los Agentes de Liquidación y Compensación (ALyCs) y Agentes de Negociación (AN), respecto de clientes con C.D.I. “Clave de Identificación” o C.I.E. “Clave de Inversores del Exterior”, y resulten titulares y/o cotitulares de subcuentas comitentes.
Tanto la prórroga aprobada mediante RG N° 1045 el pasado 2 enero, como la presente prórroga responden a la necesidad de contemplar el esfuerzo realizado por los diferentes actores del mercado para cumplir las disposiciones establecidas en la materia.
RG 1052
Brief
On 01/02/2025, the "Comisión Nacional de Valores" issued an update regarding the extension of the investment information regime for non-resident individuals. The update includes modifications to the regulatory framework for Agents of Liquidation and Compensation (ALyCs) and Agents of Negotiation (AN), related to clients with CDI or CIE identification, who are holders or co-holders of sub-accounts.
Highlights content goes here...
Purpose:
The latest regulatory update, RG N° 1033, aims to modify the informational regime for residents and non-residents applicable to Agents of Liquidation and Compensación (ALyCs) and Agents of Negociación (AN), specifically regarding clients with a C.D.I. “Clave de Identificación” or C.I.E. “Clave de Inversores del Exterior”, who are also titleholders or co-titleholders of sub-accounts for comitent purposes. This update seeks to address the efforts made by market actors in complying with established regulations.
Effects on Industry:
The modifications introduced by RG N° 1033, and the subsequent extensions through RG N° 1045 and the current RG N° 1052, aim to accommodate the diligence shown by various stakeholders within the market in adhering to regulatory requirements. These updates are responsive to the need for adapting regulations to real-world implementations, thus fostering an environment where compliance with existing laws becomes more feasible.
Relevant Stakeholders:
This update affects ALyCs and ANs, who must comply with the modified informational regime as it pertains to their clients holding a C.D.I. or C.I.E., and also being titleholders of sub-accounts designated for comitent purposes. The changes brought about by these updates are designed to ensure that market actors adhere to established regulations, thus maintaining the integrity of financial transactions.
Next Steps:
To comply with the updated regulations, ALyCs and ANs must review their existing procedures regarding clients who hold a C.D.I. or C.I.E. and also serve as titleholders or co-titleholders for designated sub-accounts. This includes revising their internal policies to ensure alignment with the modified informational regime, thus preventing any potential discrepancies in future financial dealings.
Any Other Relevant Information:
It is worth noting that the extensions through RG N° 1045 and the current RG N° 1052 demonstrate an ongoing commitment by regulatory bodies to adapt regulations to accommodate real-world implementations. This approach fosters a positive environment where compliance with existing laws becomes more manageable, ultimately benefiting the market as a whole.
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