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Operational instruction of 17 January 2019 for the formalisation of internal procedures of the CNMV

Operational instruction of 20 September 2016 for the formalisation of internal procedures of the CNMV

  • P01 – Supervision and inspection procedures for persons and firms operating in the securities markets.
  • P02 – Procedure for the issue of demands and requests for data or reports to persons and firms operating in the securities markets.
  • P03 – Procedure for reporting of relevant information.
  • P04 – Procedure for registration of issues, public offers for sale and listings, incorporation of securitization funds and banking asset funds, and registration of book-entry securities .
  • P05 – Procedure for suspension and removal of financial instruments from trading in regulated secondary markets.
  • P06 – Procedure for approval of tender offers, waivers and exemptions.
  • P07 – Procedure for periodic information by issuers.
  • P08 – Procedure for the disclosure of significant shareholdings in listed companies and the acquisition of own shares.
  • P09 – Procedure for the authorisation and registration of organisations and for the revocation of such authorisation and registration.
  • P10 – Procedure governing modification of the conditions in which Organisations operate.
  • P11 – Procedure for the management and collection of the fees payable for the activities and services supplied by the CNMV.
  • P12 – Procedures for financial management, administrative contracting and the management of secondments.
  • P13 – Procedures for the selection and hiring personnel.
  • P14 – Procedure for the authorisation of organisational, corporate, economic and financial aspects of Spanish market infrastructures.
  • P15 – Procedure for the exercise of the CNMV’s powers of intervention in short selling and certain aspects of credit default swaps.