The Chile Financial Market Commission has opened a consultation on two regulatory proposals that set how and when securities intermediaries and commodity exchange brokers must submit information for supervisory purposes. One proposal would require monthly data to classify firms into turnover brackets 1, 2, or 3, which determines the proportional application of General Rules No. 510 on operational risk management, No. 528 on corporate governance and risk management, and No. 562 on minimum capital, guarantees, liquidity, and indebtedness. The second would require monthly and daily reporting on minimum capital, collateral, liquidity, and indebtedness to monitor compliance with General Rule No. 562. Under the proposals, the turnover bracket reporting framework would take effect on September 1, 2026, with the first submission due in October 2026. The reporting framework linked to General Rule No. 562 would take effect on March 1, 2027, with the first submission of information set for April 1, 2027. The consultation remains open through June 26, 2026, and the CMF has also published a regulatory report setting out the core elements of both proposals.
Chile Financial Market Commission2026-06-01
Chile Financial Market Commission launches consultation on turnover classification and prudential reporting for securities intermediaries and commodity exchange brokers
The Chile Financial Market Commission has opened a consultation on two regulatory proposals specifying how and when securities intermediaries and commodity exchange brokers must submit information for supervisory purposes. One proposal introduces monthly turnover reporting to assign firms to brackets that determine proportional application of General Rules No. 510, No. 528 and No. 562, while the other requires monthly and daily reporting on minimum capital, collateral, liquidity and indebtedness to monitor compliance.