Through Circular SV. SG. No. 07 dated March 21, 2024 (the "Circular"), the Superintendency of Securities ("SIV") determined that applications for registration in the securities market registry will be received only through the Agent Registration Tool ("HRA"), as of March 25, 2024.
Although the modality for submitting applications has been modified, it is important to highlight that the required documentation and requirements remain in strict compliance with the securities market regulations.
The application for registration through the HRA is mandatory for:
- Stock market advisors or securities advisors;
- Securities market operators;
- Derivatives market operators;
- Sociedades Anónimas Emisoras ("SAE"); and
- Sociedades Anónimas Emisoras de Capital Abierto ("SAECA").
Annex I of the Circular contains detailed instructions on how to use the agent registration system. Upon entering the system, a list of designated users will be displayed and, once the corresponding option has been selected, data and documents required by the SIV will be requested. Next, a screen will be displayed with all the information entered, and the registration must be completed by accepting the data entered as a Sworn Statement. Finally, the user will receive a notification of registered application in the declared e-mail inbox.
In the cases of incomplete or rejected applications, a notification will be sent to the user indicating the status of the application and, if accepted, the notification will contain the final status of the application submitted including the Certificate Generated.
