Glossary entry

English term or phrase:

chaperoning arrangement

Spanish translation:

acuerdo de supervisión

Added to glossary by claudia bagnardi
Nov 9, 2016 11:58
7 yrs ago
4 viewers *
English term

chaperoning arrangement

English to Spanish Bus/Financial Finance (general) Broker-Dealer activity
Notes to Financial statements

The company is party to **chaperoning arrangements**, under SEA (it must be SEC I think, a typo) Rule 15a(6) with BAnk XXX and Bank YY.

Following, the definition I found:
Rule 15a-6 also provides that a foreign broker-dealer may engage in a broader scope of activities, including soliciting and entering into transactions with specified
categories of institutional investors, with the assistance or intermediation of an SECregistered
broker-dealer (the establishment of such an arrangement is typically
referred to as a “chaperoning arrangement” and the SEC-registered broker-dealer
is often referred to as the “chaperoning broker-dealer”)

Thank you friends!
Claudia
Proposed translations (Spanish)
4 acuerdo de supervisión

Proposed translations

10 hrs
Selected

acuerdo de supervisión

El "chaperón" supervisará las transacciones del broker extranjero para garantizar que cumpla con las regulaciones de la SEC.
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4 KudoZ points awarded for this answer. Comment: "Gracias Jorge y Mónica! Perdón la enorme demora! Saludos a los dos!! Claudia"

Reference comments

1 hr
Reference:

Referencia

http://www.scielo.org.co/scielo.php?script=sci_arttext&pid=S...

Según esto, no parece haberse acuñado un término específico en español.
Note from asker:
Gracias mil, Mónica. Tengo que entregar hoy. Beso
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