por Diego Joachin, CABI
Me pareció interesante lo que acabo de leer en el reporte anual de MFGlobal, el broker más grande:
Our business activities are extensively regulated by a number of U.S. and foreign regulatory agencies and exchanges. These regulatory bodies and exchanges are charged with protecting investors by imposing requirements relating typically to capital adequacy, licensing of personnel, conduct of business, protection of client assets, record-keeping, trade-reporting and other matters. They have broad powers to monitor compliance and punish non-compliance with their rules. If we fail to comply with applicable regulations, we may be subject to censure, fines, cease-and-desist orders, suspension of our business, removal of personnel, civil litigation, revocation of operating licenses or other sanctions.
Aquí regulación se refiere al instrumento para acelerar la trasparencia y robustecer la certeza juridica. En palabras de Frédéric Bastiat: la fuerza común organizada para obstaculizar la la irresponsabilidad de terceras personas hacia la iniciativa individual.
Un obsequio: lista de organizaciones regulativas y bolsas a las que CABI tiene acceso:
| Country/Region | Principal Regulators and Self-Regulatory Organizations | Principal Exchanges and Clearing Houses |
| United States | Commodity Futures Trading Commission
Securities and Exchange Commission National Futures Association Financial Industry Regulatory Authority |
CME/CBOT
NYMEX ICE ICE Futures US International Securities Exchange Chicago Board Options Exchange Options Clearing Corporation Boston Options Exchange |
| Canada | Investment Dealers Association | Bourse de Montréal
Toronto Stock Exchange Winnipeg Commodity Exchange |
| Europe | Financial Services Authority
Autorit? des Marchés Financiers Bundesbank and German Financial Supervisory Authority The Committee of European Securities Regulators |
Eurex
Euronext.liffee ICE Futures London Metal Exchange London Stock Exchange LCH.Clearnet |
| India | Forward Markets Commission
Securities and Exchange Board of India |
Mult Commodity Exchange
National Commodities & Derivatives Exchange National Stock Exchange Bombay Stock Exchange |
| Singapore | Monetary Authority of Singapore | Singapore Exchange Ltd. |
| Australia | Australian Securities & Investments Commission | Sydney Futures Exchange/Australian Securities Exchange |
| Hong Kong | Securities and Futures Commission | Hong Kong Futures Exchange |
| Taiwan | Securities and Futures Bureau | Taiwan Futures Exchange |
| U.A.E. (Dubai) | Dubai Financial Services Authority
Emirates Securities and Commodities Authority Dubai Multi Commodities Centre |
Dubai Gold & Commodities Exchange |
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