In accordance with CAVALI’s internal regulations, Chapter II “Participants”, Article 6a:
CAVALI will monitor the compliance by the Participants with the requirements to act as such at the time of their incorporation; for which purpose it will annually evaluate whether they have the financial, economic, information technology and operational capacity.
In this regard, the Participants shall send CAVALI:
a. Annual report issued by an independent audit firm referring to the compliance of its operational and IT capacity or, in the case of being a Brokerage Agent authorized by the SMV, a copy of the Annual Compliance Report submitted to the SMV.
