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agentes de bolsa

Agentes de bolsa: son las personas naturales previamente autorizados por una Bolsa de Valores e inscritos en la Superintendencia de Bancos que se dedica al corretaje de Valores en Bolsa.
Los Agentes de Bolsa y las Sociedades, sin perjuicio de las disposiciones legales, estatutarias y reglamentarias pertinentes, deben ajustarse a las siguientes normas:

a) En las negociaciones que realicen, se adecuarán a lo establecido en este Reglamento;
b) Responderán frente al Agente de Bolsa o Sociedad contraparte por el cumplimiento de las operaciones que realicen;
c) Podrán aceptar órdenes verbales de sus clientes;

d) Por cada operación emitirán una liquidación o comunicación con los requisitos que establezca el Directorio;
e) Actuarán con lealtad, ética y diligencia de buenos hombres de negocios y se abstendrán de concertar operaciones que no sean reales;

f) Llevarán en debida forma los libros, registros y documentación prescriptos por las Leyes y los que establezca el Directorio, y están obligados a presentarlos en cualquier oportunidad que lo exija, ante quienes designe, con las reservas legales pertinentes y sin perjuicio de lo dispuesto por la Ley 17.811 en la materia. Tales libros y documentación deben obrar en sus oficinas;

g) Darán aviso por escrito al Mercado, dentro de los cinco días, cuando con posterioridad a su admisión les alcanzare algunas de las inhabilidades o incompatibilidades establecidas en las disposiciones legales, estatutarias y reglamentarias;
h) Informarán al Directorio, dentro de las veinticuatro horas, de todo incumplimiento de las obligaciones en que incurriera el Agente de Bolsa o Sociedad contraparte;

i) No aceptarán órdenes de personas que previamente no hayan acreditado su identidad y demas datos personales y asentado su firma en las fichas que a tal efecto deben llevar;
j) A pedido de un cliente o comitente expedirán certificación de las operaciones registradas en el Mercado que hayan concertado por cuenta de aquel. La firma del Agente de Bolsa o representante de la Sociedad será certificada por el Gerente del Mercado;

k) Cuando sean depositarios de los valores de sus clientes o comitentes actuarán de acuerdo con las disposiciones legales pertinentes y las que al efecto establezca el Directorio;

l) Dentro de los ciento veinte días de cerrado su ejercicio, presentarán al Mercado una manifestación de bienes actualizada, bajo declaración jurada, que exteriorice la solvencia material que anualmente establezca el Directorio para el ejercicio de la profesión. Esta obligación se hace extensiva a los socios no Agentes de Bolsa que integren sociedades con estos últimos. Dentro de los ciento veinte días de cerrado su ejercicio, los Agentes de Bolsa y las sociedades colectivas presentarán al Mercado su balance general. Las sociedades anónimas presentarán sus estados contables completos, con quince días de anticipación a la fecha de la asamblea que deba considerarlos;

m) Al cesar en sus funciones por cualquier circunstancia, el Agente de Bolsa o sus causahabientes y las Sociedades están obligados a dejar depositados en el Mercado los libros que antes de la fecha de cesación el Directorio hubiese declarado que deben permanecer en ese carácter. El Mercado se obliga a la exhibición judicial y a suministrar a terceros constancias de tales libros a pedido de los interesados. Este depósito es condición previa para levantar las garantías establecidas en el artículo 7º de este Reglamento;

n) Los Agentes de Bolsa y las Sociedades, actuando en forma individual o conjunta no pueden formular manifestaciones orales o escritas a través de medios masivos de comunicación o por cualquier otro procedimiento destinado a llegar al público en general, arrogándose la representación del Mercado o de sus accionistas, respecto de asuntos que constituyan el objeto del Mercado o se relacionen con la actividad bursátil del mercado de capitales. No rigen las prohibiciones que anteceden en los casos contemplados en el artículo 54 del Reglamento Interno.

32 Comments

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