Regulators

Spanish National Securities Market Commission (CNMV)

Spain CNMV, established in 1988, is a regulatory agency responsible for supervising the Spanish stock market and the financial behavior of market participants. Investm...

Forex Regulatory Tips

Spain CNMV regulates foreign exchange, las operaciones de divisas al contado-Fx Spot translated into Chinese is an instant foreign exchange trading contract.

Organization Profile

Institutional nature: government nature
Organization Profile:
The Spanish National Securities Market Commission (CNMV) is the body responsible for monitoring and inspecting the Spanish stock market and the market activities of all its participants. It was created by the Securities Markets Act and established a regulatory framework conducive to the development of the European stock market and fully compliant with the requirements of the European Union. The purpose of the CNMV is to ensure transparency in the Spanish market and protect investors. Spain enjoys a modern and efficient regulatory and supervisory system, and the main beneficiaries of CNMV work are Spanish investors. To this end, CNMV pays special attention to improving the quality of information disclosed to the market and makes efforts in the field of auditing.
Supervision object:
The Commission's oversight scope covers companies that offer securities publicly, secondary markets for securities, and investment services companies.
The investment entities are as follows:
Collective investment schemes, including: investment companies (securities and real estate), investment funds (securities and real estate) and their management companies. Brokers - Dealers and dealers, primarily engaged in the buying and selling of securities.
Portfolio management companies, i.e. entities that are primarily concerned with managing personal assets (mostly securities).
CNMV assigns internationally valid ISIN and CFI codes to all securities issued in Spain.

List of Regulated Companies

A total of 10 companies are regulated and licensed foreign exchange brokers. The full name is abbreviation. Regulatory status. TRILT LTD. BLACKROCK(UK) 32 under supervision CMC MARKETS UK PLC CMC MARKETS 45 under supervision DEPAHO LTD DEPAHO 123 under supervision IG MARKETS LIMITED IG 37 under supervision CHARLGATE LTD CHARLGATE 4892 under supervision MEX ASSET MANAGEMENT GMBH, SUCURSAL EN ESPAÑA MEX ASSET MANAGEMENT 120 under supervision GKFX FINANCIAL SERVICES LTD GKFX FINANCIAL SERVICES 2624 under supervision

Regulatory Inquiries

1. Open the Spanish CNMV website, http://www.cnmv.es/Portal/home.aspx
2. Click Registration Document - Investment Company, and there will be investment company search, search investment company designated agent, investment company list, and investment management company list. Just select the list you want to search for.
Company registration information query: http://www.cnmv.es/portal/Consultas/BusquedaPorEntidad.aspx
List of investment companies: http://www.cnmv.es/Portal/Consultas/ListadoEntidad.aspx?id=1&tipo=0
Investment company inquiry: http://www.cnmv.es/Portal/Consultas/Busqueda.aspx?id=13
List of blacklisted companies: http://www.cnmv.es/Portal/AdvertenciasListado.aspx?tipoAdv=1&inicial=Q

Regulatory complaints

1. Please file a complaint with your financial institution in writing, if it cannot be resolved or there is no response within 2 months;
2. You can file a complaint with CNMV, CNMV will handle your complaint by online mail (link: https://sede.cnmv.gob.es/sedecnmv/LibreAcceso/RQC/Reclamaciones_Consultas.aspx?t=2)
3. Or you can fill out the appeal form and email us:
http://www.cnmv.es/DocPortalInv/OtrosPDF/ES-FormularioreclamacionequejasCNMV.pdf
4. The content of the complaint email should include the following information:
① Applicant's name, ID number and address and telephone number.
②Confirmation of complaint by your financial institution
③ The reason and reason for the claim.
④ There is no application for litigation, arbitration or other administrative or judicial proceedings.
⑤ Documentary evidence of a complaint to an investment institution, and the institution has reported to CNMV within two months
⑥ place, date and signature.
⑦Copies of relevant evidence materials
5. After CNMV accepts your appeal, it will forward it to the financial institution within 15 days and ask them to give a reply or compensation
6. The claim adjudication time is 4 months

Related Links

Financial Planning Education: http://www.finanzasparatodos.es/

Contact information

Tel: 902 149 200 (9:00-19:00)
Fax: 34 91 319 33 73
Complaint email: [email protected]
Address: 4, 28006 Madrid - Passeig de Gràcia, 19, 08007 Barcelona

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