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The CNMV exercises prudential supervision over market participants. For this purpose:

  • With regard to Broker-Dealers and Brokers, the CNMV:
    • Analyses the initial proposal for formation to check that it conforms to the Law.
    • Monitors risks, solvency and liquidity through the monthly filings.
    • Monitors the records of orders and transactions.
    • Maintains a public record of officers, main shareholders, branches and representatives.
  • With regard to Collective Investment Schemes:
    • Analyses the initial proposal for formation to check that it conforms to the Law.
    • Monitors risks, solvency and liquidity through the monthly filings.
    • Monitors transactions with investors, particularly the information diclosed to them.
    • Maintains a public record of significant holdings in the capital stock or net worth of management companies.