Spain: Financial Sector Assessment Program: Detailed Assessment of Implementation of the IOSCO Objectives and Principles of Securities Regulation
June 14, 2006
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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.
Subject: Financial institutions, Financial instruments, Financial markets, Legal support in revenue administration, Revenue administration, Securities, Securities markets, Stock markets
Keywords: Bolsas y Mercados Españoles, CNMV enforcement power, CNMV oversight, CNMV personnel, CNMV staff, CR, Europe, fixed income, futures market, Global, investment fund, ISCR, joint-stock company, Legal support in revenue administration, management company, market operator, open-ended investment company, risk management, Securities, Securities markets, Stock markets, The CNMV
Pages:
74
Volume:
2006
DOI:
Issue:
220
Series:
Country Report No. 2006/220
Stock No:
1ESPEA2006011
ISBN:
9781451812220
ISSN:
1934-7685
