Investment & Securities Law Colombia

Regulatory Strategy & Implementation

Navigate RNVE (Registro Nacional de Valores y Emisores) requirements effectively. We handle initial registration, manage periodic updates, and ensure compliance with disclosure obligations. Implementation includes SIMEV registration, prospectus preparation, and ongoing reporting systems with typical setup time of 8-12 weeks.

RNVE Registration Process
SIMEV System Setup
Disclosure Framework
Reporting Systems

Implement robust trading control systems under SFC requirements. We establish insider trading prevention frameworks, manage material information controls, and ensure market conduct compliance. Key focus includes AMV regulations, price manipulation prevention, and automated monitoring systems.

Insider Trading Prevention
Market Conduct Systems
AMV Compliance
Monitoring Framework

Develop comprehensive Risk Management systems for securities operations. Implementation includes SARO (Operational Risk), SARM (Market Risk), and SARL (Liquidity Risk) frameworks. We ensure compliance with risk measurement, control, and reporting requirements.

SARO Implementation
SARM Framework
SARL Systems
Risk Reporting

Ensure robust investor protection frameworks under Colombian regulations. We implement consumer protection systems (SAC), handle conflict of interest management, and establish fair dealing procedures. Focus includes complaint handling systems and investor communication frameworks.

SAC Implementation
Conflict Management
Fair Dealing Systems
Complaint Handling

Discuss Compliance Needs

Key Compliance Questions

RNVE registration requires comprehensive documentation including financial statements, corporate information, and securities details. Process includes SIMEV registration, prospectus preparation, and ongoing reporting systems. Timeline typically 8-12 weeks.

Trading controls include insider trading prevention, market conduct systems, and monitoring frameworks. Implementation involves policy development, system setup, and staff training with focus on AMV compliance.

Required systems include SARO (Operational Risk), SARM (Market Risk), and SARL (Liquidity Risk). Each system needs specific policies, procedures, measurement tools, and reporting frameworks.

Protection measures include SAC Implementation, conflict management systems, and fair dealing procedures. Focus on complaint handling, investor communication, and transparent operations.

Regular reporting includes periodic financial statements, material information disclosures, and risk reports. We implement efficient reporting systems ensuring timely and accurate submissions.