Spain; Financial Sector Assessment Program: Detailed Assessment of Implementation of the IOSCO Objectives and Principles of Securities Regulation

This assessment focuses on the National Securities Market Commission (CNMV) but takes into account the activities of other institutions insofar as they oversee investment service providers, markets, and clearing and settlement systems, and thus affect implementation of the IOSCO Objectives and Principles of Securities Regulation. The assessment also reviews the efficiency of the arrangements by which such institutions interact and cooperate in the performance of their regulatory, supervisory, and enforcement functions, and also reflects the views of the mission team on the findings in their particular areas of emphasis.

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Year of publication:	2006-06-14
Institutions:	International Monetary Fund (IMF) ; International Monetary Fund
Subject:	Financial Sector Assessment Program \| Securities regulations \| credit \| clients \| securities markets \| shares \| shareholders \| securities regulation \| settlement systems \| confidentiality \| accounting standards \| money laundering \| custodian \| foreign regulators \| market intermediaries \| collective investment schemes \| legal entities \| registration \| penalties \| internal rules \| legal entity \| securities firms \| internal control procedures \| financial regulation \| custody \| prices \| counterparty \| professional secrecy \| enforcement powers \| administrative sanctions \| risk management \| collective investment scheme \| custodians \| market participants \| prudential supervision \| iosco principles \| technical resources \| market manipulation \| pension funds \| criminal sanctions \| penal code \| payment systems \| competent authorities \| securities regulators \| internal controls \| financial intermediaries \| purchases \| securities transactions \| internal procedures \| foreign counterparts \| assessment methodology \| supervisory authorities \| protocols \| internal audit \| third parties \| adequate powers \| beneficial ownership \| systemic risk \| internal organization \| pricing \| market intermediary \| insider trading \| judicial authorities \| criminal liability \| beneficial owners \| transparency requirements \| checks \| market transparency \| international standards \| clearinghouses \| segregation \| foreign authorities \| judicial authorization \| international accounting standards \| supervisory boards \| information exchange \| exchange information \| foreign counterpart \| confidentiality requirements \| internal control systems \| integrity standards \| share information \| civil liability \| foreign authority \| counterpart \| payments \| repo \| supervisory agencies \| regulatory authorities \| disciplinary proceedings \| compliance program \| legal assistance \| collateral \| prudential regulation \| regulatory measures \| international cooperation \| regulatory requirements \| financial sector supervisors \| ensuring compliance \| criminal acts

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Extent:	application/pdf
Series:	IMF Staff Country Reports.
Type of publication:	Book / Working Paper
Notes:	The text is part of a series IMF Staff Country Reports Number 06/220 7 pages long
Source:	RePEc - Research Papers in Economics

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