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Mutual Funds Information Register Markets Recommendation profiles Find yours here Drag the pointer and automatically load the suggested content Students Investors Companies Press room Home Markets Market Surveillance Market Information Equity Global Market Market Indices Types of Indices Instruments Products Classification Special Information METHODOLOGIES TECHNICAL COMMITTEE Transactional Services Notifications Market Maker Brokers Regulation Mila Access Guide for Brokerage Firms Market Surveillance About Current Trading Halts Market Press Release Maintenance Requirements About Print Email Incrementar Incrementar Contact (5255) 5342-9179 Market Surveillance Objective The Mexican Stock Exchange seeks to maintain efficiency and transparency In the function of oversight the market, the Mexican Stock Exchange seeks to maintain efficiency and transparency, looking for an ethical behavior of its participants, through prevention, detection of illicit financial activity and trading abuses of Members, Brokers, Issuers, Sponsors, Market Makers and Independent Analyst. Functions Ensure the development of an efficient and transparent market The function of Market Surveillance is to supervise compliance with the obligations of issuers, intermediaries and their traders, which are established in the Internal Regulation of this Institution. In order to do this, the department of Market Surveillance is capable to use the systems, equipment, devices, mechanisms and measures that it deems necessary to supervise the correct operations in the market, with the purpose of ensure the development of efficient and transparency market. Market Surveillance functions: Stock Watch Monitoring and overseeing fulfillment of the obligations of the Issuers, Independent Analyst, Members, and Market Makers in the Internal Regulations of this Institution. Also, following up the behavior of the quotations for securities traded in the capital market, ensuring that market participants have clear, true, sufficient and prompt information, which issuers disclose to the Stock Exchange through outstanding events, with intensions to provide transparency to the market. Enforcement Verify the level of compliance of Members, brokers, Issuers, Sponsors, Market Makers and Independent Analyst in the Internal Regulations of this Institution about disclosure obligations of accounting, financial and legal information to the market on time and shape. Investigation Responsible to conducting a proper investigation of cases about the detection or reasonable presumptions that has breached any rule in Internal Regulation of this institution by its participants, opening a file in case that Surveillance Committee require to review. Audit of Members Execute audits to members, in order to identify, analyze and prevent potential operational and technological risks, arising from the control of transactional systems of intermediaries, minimizing risk and enhancing business continuity. Surveillance Committee The Surveillance Committee is a delegated body of the Board of Directors of the Corporation whose purpose consists in coordinate functions of market surveillance of the Mexican Stock Exchange. The Surveillance Committee´s main responsibilities, among others, are the following: I. Coordinate the activities of Surveillance Director. II. Detect and resolve illicit financial activities and trading abuses. III. Issuing general criteria, guidelines and manuals on surveillance activities. IV. Submit to Disciplinary Committee a review and conclusions about the reason that originated the research. V. Propose to the Regulation Committee modifications of improvements of the Internal Regulation. VI. Consult independent experts, to take any decision that requires a different opinion. VII. Submit to the Board of Directors and, if is necessary, to the Shareholders, a report regarding be its activities, at least annually, when requested or when in their opinion require to notify to the Board of Directors and the Shareholders. 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