CMF publishes for consultation a regulation simplifying enrollment in the Register of Account Inspectors and External Auditors

April 11, 2022 - The Financial Market Commission (CMF) published for consultation today a regulatory proposal that simplifies enrollment in the Register of Account Inspectors and External Auditors (RICAE, for its Spanish acronym).

To enroll in the RICAE, natural or legal persons must submit to the Commission a request containing including identification of the applicants; identification of their legal representatives (if applicable); an affidavit on the accuracy of such information; and activation of the corresponding Online Information Submission System user.

Natural persons must also submit:

  • A birth certificate.
  • An academic certificate or license.
  • A background certificate.
  • An affidavit stating they are free managers of their assets and have no inabilities preventing their enrollment.

Legal persons must also submit:

  • Their corporate purpose.
  • A list of all individuals who will be entrusted with duties and performance of statutory or external auditors. Such individuals must be previously enrolled in the RICAE for the legal person to be registered.

The proposal states that any modifications to the information provided in enrollment applications, whether it occurs during or after the registration process, must be reported to the Commission.

Interested parties can access the Draft Rules and Norms section of the CMF website until April 22, 2022 to check the details of the regulatory proposal and submit their feedback. In addition, the CMF makes available a Presentation, an Informative Brochure, and a Frequently Asked Questions document with its key elements.

Galería de imágenes


Evalúa nuestro contenido