Operational instruction of 21 September 2023 for the formalisation of internal procedures of the CNMV

Operational instruction of 25 July 2019 for the formalisation of internal procedures of the CNMV

Operational instruction of 17 January 2019 for the formalisation of internal procedures of the CNMV

Operational instruction of 20 September 2016 for the formalisation of internal procedures of the CNMV

  • P01 – Supervision and inspection procedures for persons and firms operating in the securities markets.
  • P02 – Procedure for the issue of demands and requests for data or reports to persons and firms operating in the securities markets.
  • P03 – Procedure for reporting of relevant information.
  • P04 – Procedure for registration of issues, public offers for sale and listings, incorporation of securitization funds and banking asset funds, and registration of book-entry securities .
  • P05 – Procedure for suspension and removal of financial instruments from trading in regulated secondary markets.
  • P06 – Procedure for approval of tender offers, waivers and exemptions.
  • P07 – Procedure for periodic information by issuers.
  • P08 – Procedure for the disclosure of significant shareholdings in listed companies and the acquisition of own shares.
  • P09 – Procedure for the authorisation and registration of organisations and for the revocation of such authorisation and registration.
  • P10 – Procedure governing modification of the conditions in which Organisations operate.
  • P11 – Procedure for the management and collection of the fees payable for the activities and services supplied by the CNMV.
  • P12 – Procedures for financial management, administrative contracting and the management of secondments.
  • P13 – Procedures for the selection and hiring personnel.
  • P14 – Procedure for the authorisation of organisational, corporate, economic and financial aspects of Spanish market infrastructures.
  • P15 – Procedure for the exercise of the CNMV’s powers of intervention in short selling and certain aspects of credit default swaps.
  • P16 - Procedure for reporting potential infringements in the field of securities markets through the Whistleblowing channel
  • P18 - Procedures for the resolution of central counterparties and the preventive resolution of investment firms