{"id":4700,"date":"2019-06-28T16:47:32","date_gmt":"2019-06-28T19:47:32","guid":{"rendered":"https:\/\/www.fdinternational.com\/dev\/?p=4700"},"modified":"2019-06-28T16:47:32","modified_gmt":"2019-06-28T19:47:32","slug":"bank-magazine-imitar-pais-la-sec-aumenta-aun-mas-la-proteccion-al-inversor","status":"publish","type":"post","link":"https:\/\/www.fdinternational.com\/dev\/fdi-en-los-medios\/bank-magazine-imitar-pais-la-sec-aumenta-aun-mas-la-proteccion-al-inversor\/","title":{"rendered":"BANK MAGAZINE: Para imitar en nuestro pa\u00eds, la SEC aumenta a\u00fan m\u00e1s la protecci\u00f3n al inversor"},"content":{"rendered":"

Fecha<\/strong>: 27 de junio, 2019<\/em><\/p>\n

BANK MAGAZINE: Para imitar en nuestro pa\u00eds, la SEC aumenta a\u00fan m\u00e1s la protecci\u00f3n al inversor<\/span><\/h2>\n

El pasado 5 de junio, la Securities and Exchange Commission (\u201cSEC\u201d) anunci\u00f3 nuevas e interesantes medidas para incrementar la protecci\u00f3n al inversor.<\/p>\n

Se busca que \u00e9ste tenga la oportunidad de elegir la clase de profesional con el que desea trabajar, qu\u00e9 servicios recibir\u00e1 y c\u00f3mo pagar\u00e1 los mismos.<\/p>\n

Adem\u00e1s, la SEC busca un aumento en la calidad y transparencia de las relaciones del inversor frente a brokers y asesores financieros, requiri\u00e9ndose a \u00e9stos brindar informaci\u00f3n expresa para ayudar a sus clientes a entender y comparar los servicios que se les ofrecen. As\u00ed, el inversor podr\u00e1 tomar una decisi\u00f3n informada respecto del profesional y servicios que desea contratar.<\/p>\n

En especial, se fortalece la protecci\u00f3n al inversor al momento en que un broker le da una \u201crecomendaci\u00f3n\u201d (reservando el t\u00e9rmino \u201cconsejo\u201d si es un asesor).<\/p>\n

Para los brokers, establece un nuevo est\u00e1ndar de conducta, yendo m\u00e1s all\u00e1 de la norma tradicional de que la recomendaci\u00f3n sea \u201cadecuada\u201d. Se exige ahora que documenten c\u00f3mo est\u00e1n actuando en el mejor inter\u00e9s del cliente, fundamentalmente mediante la divulgaci\u00f3n y minimizaci\u00f3n de los conflictos de inter\u00e9s. Hist\u00f3ricamente, la enorme mayor\u00eda de los brokers \u201ccontaminan\u201d su recomendaci\u00f3n al te\u00f1irla con su propio inter\u00e9s (ejemplo: comisiones por recomendar determinada inversi\u00f3n por sobre otra, precios sucios o generaci\u00f3n de costos transaccionales excesivos al \u201crotar\u201d -comprar y vender- innecesariamente la cartera del cliente).<\/p>\n

Tambi\u00e9n debe el broker actuar con diligencia, cuidado e idoneidad al efectuar una recomendaci\u00f3n a su cliente. Se debe ponderar el riesgo, potencial retorno, costos y adecuaci\u00f3n de la recomendaci\u00f3n con respecto al perfil del inversor.<\/p>\n

No pueden ofrecer un men\u00fa \u201crestringido\u201d ni limitarse a ofrecer productos propios (\u201cenlatados\u201d). Deben eliminar las competencias internas de ventas, cuotas m\u00ednimas, bonos y todo otro tipo de compensaci\u00f3n por la venta de un t\u00edtulo valor determinado.<\/p>\n

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Solicit\u00e1 asesoramiento por este tema, desde aqu\u00ed<\/a><\/em><\/h3>\n<\/div>\n<\/div>\n<\/div>\n<\/div>\n<\/div>\n
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Leer la nota original desde\u00a0aqu\u00ed<\/a><\/strong><\/h2>\n

\"pdf_icon\"\u00a0Descargar la nota\u00a0<\/a>\u00a0<\/strong><\/p>\n<\/div>\n<\/div>\n<\/div>\n<\/div>\n<\/div>\n

 <\/p>\n","protected":false},"excerpt":{"rendered":"

El 5 de junio, la \u201cSEC\u201d anunci\u00f3 nuevas e interesantes medidas para incrementar la protecci\u00f3n al inversor. Se busca que \u00e9ste tenga la oportunidad de elegir la clase de profesional con el que desea trabajar, qu\u00e9 servicios recibir\u00e1 y c\u00f3mo pagar\u00e1 los mismos.<\/p>\n","protected":false},"author":2,"featured_media":4703,"comment_status":"closed","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[16],"tags":[],"yoast_head":"\nBANK MAGAZINE: Para imitar en nuestro pa\u00eds, la SEC aumenta a\u00fan m\u00e1s la protecci\u00f3n al inversor - FDI - Gerenciadora de Patrimonios<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.fdinternational.com\/fdi-en-los-medios\/bank-magazine-imitar-pais-la-sec-aumenta-aun-mas-la-proteccion-al-inversor\/\" \/>\n<meta property=\"og:locale\" content=\"es_ES\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"BANK MAGAZINE: Para imitar en nuestro pa\u00eds, la SEC aumenta a\u00fan m\u00e1s la protecci\u00f3n al inversor - FDI - Gerenciadora de Patrimonios\" \/>\n<meta property=\"og:description\" content=\"El 5 de junio, la \u201cSEC\u201d anunci\u00f3 nuevas e interesantes medidas para incrementar la protecci\u00f3n al inversor. Se busca que \u00e9ste tenga la oportunidad de elegir la clase de profesional con el que desea trabajar, qu\u00e9 servicios recibir\u00e1 y c\u00f3mo pagar\u00e1 los mismos.\" \/>\n<meta property=\"og:url\" content=\"https:\/\/www.fdinternational.com\/fdi-en-los-medios\/bank-magazine-imitar-pais-la-sec-aumenta-aun-mas-la-proteccion-al-inversor\/\" \/>\n<meta property=\"og:site_name\" content=\"FDI - Gerenciadora de Patrimonios\" \/>\n<meta property=\"article:published_time\" content=\"2019-06-28T19:47:32+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/www.fdinternational.com\/wp-content\/uploads\/2019\/06\/bank-27-6-imagen.jpg\" \/>\n\t<meta property=\"og:image:width\" content=\"900\" \/>\n\t<meta property=\"og:image:height\" content=\"450\" \/>\n<meta name=\"twitter:card\" content=\"summary\" \/>\n<meta name=\"twitter:label1\" content=\"Escrito por\" \/>\n\t<meta name=\"twitter:data1\" content=\"LUPA Marketing Solutions\" \/>\n\t<meta name=\"twitter:label2\" content=\"Tiempo de lectura\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutos\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\/\/schema.org\",\"@graph\":[{\"@type\":\"WebSite\",\"@id\":\"https:\/\/www.fdinternational.com\/dev\/#website\",\"url\":\"https:\/\/www.fdinternational.com\/dev\/\",\"name\":\"FDI - 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