Comportamiento del Proceso Sancionador en el Mercado de Valores a partir del Código Orgánico Administrativo

Javier Alejandro Vásquez Chacón and José; Rafael Díaz Avelino

X-pedientes_Económicos, 2022, vol. 6, issue 15, 26-35

Abstract: The issuance of the Organic Administrative Code (COA) is heldedwith the intention of establisha common administrative procedure to determine theresponsibles,in order to give the Public Administration the power to impose sanctions; the process was regulated before by different laws in the Ecuadorian legal system.For this reason, this document expose the tendencies of the administrative procedure established by the COA, and if it has been useful to keep the coverage level and celerity inthe imposition of sanctions by the Superintendencia de Compañías, Valores y Segurosin the field of the Ecuadorian stock market;from information collected in the annualreports presented by the control entity during the years of 2017 to 2021.The founddatademonstrates the need ofa particular and specific administrative procedure for the referredSuperintendencia, which allows that the control processes could be executed in an agile and transparent wayto the entities that have transgressed thedifferent stock market regulations, and the sanctions could be applied, guaranteeing in every moment the defendant’s right of a fair defense.

Date: 2022
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