Industry

The El Salvador Securities Commission aims to make E.S. a place where companies and investment funds (“issuers”) can flourish and people can invest with confidence. To do that, we set, monitor, and enforce requirements for issuers looking to raise money and registered individuals and firms (“registrants”) that buy and sell securities on behalf of investors. We also oversee a diverse array of organizations that play a role in the efficient operation of investment markets.

Issuer Regulation

We make sure that issuers listed on exchanges and investment funds that are publicly distributed provide accurate and complete information about their finances, strategy and operations, so investors can make sound decisions. We require private companies and funds to abide by rules on how they raise money and who they raise money from.

Upholding a disclosure-based investment market that serves both investors and issuers requires constant vigilance. But we must also be flexible and innovative so we can respond to new risks, new investment products and new business models.

Registrant Regulation

We expect registrants to meet standards for professional knowledge and integrity, emphasizing that they treat clients honestly and fairly.

Financial Technology & Innovation

Financial technology (fintech) encompasses a range of business models and emerging technologies that bring innovation to the financial sector. It is an industry marked by rapid, constant change, in which innovations can significantly impact how businesses operate.

Derivatives

The ESSCC works with other members of the El Salvador Securities Administrators (CSA) to develop a tailored regulatory regime for derivatives.

Marketplaces, SROs & Clearing Agencies

The El Salvador Securities Commission regulates and oversees the operation of marketplaces, self-regulatory organizations (SROs) and market infrastructure entities in El Salvador.

Depending on the type of entity listed in this section, the ESSCC may recognize, register, designate or otherwise provide authorization to the entity to operate in El Salvador. The authorization provided by the ESSCC generally sets out terms and conditions that govern the entity’s operations.