Public Registries under the CMF Management

In consequence of the dictation of the already mentioned different legal instruments, which have granted attributions, powers, and duties to the CMF, it shall keep 21 public registries, as detailed in this section, with their respective legal reference.

Public Records Legal References
1 Securities Article 5, Law No. 18,045
2 Securities Issuers Article 5, Law No. 18,045
3 Foreign securities (CDV) Article 183, Law No. 18,045
4 Stock Brokers and Securities Agents Article 26, Law No. 18,045
5 Chairman, Board Members, Senior executives, Managers, Administrators and Liquidators Article 68, Law No. 18,045
6 Reporting entities Law No. 20,382, transitional article 1 Law No. 18,045, article 7. GR (General Rule) No. 364, of 2014.
7 External audit companies. Law No. 18,045, article 239. GR No. 275, of 2010.
8 Certifying entities of offenses prevention models. Law No. 20,393. GR No. 302.
9 Account inspectors and external auditors. Supreme decree (SD) No.702 Hda., articles No.92 to No.100. Law No. 18,046, article No. 53. Circular Communication No. 2102, of 2013.
10 Power Rating Attorneys DS N° 702 de 2011 Hda., artículo 116.
11 Risk-Rating Agencies Article 71, Law No. 18,045
12 Insurance Brokers (Insurance Trade Auxiliaries) Letter g, of article 3 and art. 58 DFL No. 251
13 Loss Adjusters (Insurance Trade Auxiliaries) Letter g, of article 3, arts. 61 and 62 DFL No. 251
14 Mortgage mutual fund manager agents Article 88 DFL No. 251
15 Domestic and Foreign Reinsurance Brokers Article 16 bis DFL No. 251
16 Product Brokers Article 7, Law No. 19,220
17 Farming Products Article 19, Law No. 19,220
18 Life Annuities Sales Agent Title III, article 57 DFL 251
19 Portfolio Administrators

Law No. 20,712 and SD No. 129.

20 Mandates Managers Law No. 20,880, articles 28 and 29. GR No. 409.
21 Registry of Funds' Internal Regulation Law No. 20,712, article 46.

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