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Market Closed 12-10-2018 06:24 AM GMT -03:00


COMPLAINTS FROM CUSTOMERS OF BROKERS AND OTHER MARKET PARTICIPANTS AGAINST BROKERS REGISTERED WITH THE EXCHANGE


Santiago Exchange and CCLV have made this mechanism available to customers of brokers and other market participants (investors, liquidation agents, operators and brokers’ employees) so they can file complaints regarding conduct that violates healthy competitive and market transparency practices or the Securities Market Law and other stock market regulations.


File a complaint Here

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FAQ SECTION REPORTING CHANNEL


  • Is a report filed on the website anonymous?

    An informant filing any communication and/or report through the different available channels (website, phone and e-mail) may choose whether or not to remain anonymous. Maximum confidentiality is ensured during the process of receiving and/or resolving the report.  

  • Which entity is the main regulator of Santiago Exchange?

    Santiago Exchange must adhere to the provisions of the Financial Market Commission (CMF) and create different mechanisms to help supervise the correct functioning of the market and its participants, especially the actions of the Exchange’s member brokers. 

  • What entities are regulated by Santiago Exchange?

    Santiago Exchange directly supervises the conduct of brokers registered with the Exchange, monitoring compliance with requirements to minimize operational risk and authorizing operators to participate in market transactions. It also receives information from securities issuers and discloses information that is public and relevant for investment decision-making by market players.  

  • What can I do if I have any complaint or information regarding a violation committed by any member of Santiago Exchange or a member broker?

    You may file different types of complaints through the Complaint Channel available on this site

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