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

International Monetary Fund

No 2006/220, IMF Staff Country Reports from International Monetary Fund

Abstract: 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.

Keywords: ISCR; CR; management company; Bolsas y Mercados Españoles; The CNMV; fixed income; CNMV staff; joint-stock company; open-ended investment company; investment fund; futures market; CNMV oversight; market operator; risk management; CNMV personnel; CNMV enforcement power; Securities markets; Legal support in revenue administration; Securities; Stock markets; Europe; Global (search for similar items in EconPapers)
Pages: 74
Date: 2006-06-14
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