Capital Market Institutions shall be obliged to: 1. Exercise Financial Activities, perform their tasks, and utilize technical and technological systems supporting their operations. 2. Ensure the presence of a qualified Executive Management for the exercise of Financial Activities, and for the management of their operations and related risks. 3. Perform the duties assigned thereto in a manner that achieves a balance between the exercise of activities and the establishment of sound and fair practices, as well as the management and disclosure of conflicts of interest. 4. Conduct investigations and inspections of members to verify their compliance with operational and executive controls issued thereby. 5. Establish mechanisms and procedures to ensure the quality of technical and technological systems utilized, and to guarantee the preservation and retrieval of data and information at all times. 6. Maintain the confidentiality of information and data pertaining to members and clients, except where disclosure is required by the Authority, judicial authorities, or as mandated by this Decree by Law and the Relevant Legislation. 7. Submit to the Authority any disclosures, financial reports, data, documents, or any other requirements requested in accordance with the mechanisms and deadlines specified thereby. 8. Establish controls, measures, and procedures to ensure business continuity and crisis management. 9. Establish principles and standards for participation and corporate social responsibility. 10. Determine procedures to be undertaken in the event of operational failure, interruption, or cessation of Financial Activities. 11. Adopt the controls issued by the Authority prior to the implementation thereof.
Interpretation and application must be checked against the official text and current version.