Qué es regulación


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




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



ICE Futures

London Metal Exchange

London Stock Exchange


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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