{"id":5203,"date":"2023-10-03T12:18:58","date_gmt":"2023-10-03T10:18:58","guid":{"rendered":"https:\/\/barcelonafinanceschool.com\/?p=5203"},"modified":"2023-10-04T13:38:06","modified_gmt":"2023-10-04T11:38:06","slug":"importancia-control-intern-sgeic","status":"publish","type":"post","link":"https:\/\/barcelonafinanceschool.com\/ca\/importancia-control-intern-sgeic\/","title":{"rendered":"La import\u00e0ncia del control intern en les SGEIC"},"content":{"rendered":"<p class=\"wp-block-paragraph\">El passat dia 21 de setembre des de l\u2019\u00e0rea de Compliance de la Barcelona Finance School (BFS) &#8211; Institut d\u2019 Estudis Financers (IEF) v\u00e0rem organitzar un Finance Aferwork per parlar de <strong>la import\u00e0ncia del control intern en les gestores d\u2019entitats d\u2019inversi\u00f3 col\u00b7lectiva tancades<\/strong> amb la participaci\u00f3 de la <strong>Sra. Carmen Cors\u00edn, coordinadora del Departament d&#8217;Autoritzaci\u00f3 i Registre d\u00b4Entitats de la CNMV a Barcelona.<\/strong><\/p><p class=\"wp-block-paragraph\">Primerament ens va presentar el mapa de les entitats de capital risc registrades, autoritzades i un estudi a 30 de juny per tal de fer-nos veure de que la tend\u00e8ncia \u00e9s positiva i que la ind\u00fastria empeny en una direcci\u00f3 ascendent per aquesta mena de vehicles d\u2019 inversi\u00f3.<\/p><p class=\"wp-block-paragraph\">De fet, ens comentava que segons un estudi realitzat per SPAINCAP, l\u00b4Associaci\u00f3 de Venture Capital i Privat Equity espanyola, <strong>\u201cel primer semestre 2023 ha assolit el segon millor registre hist\u00f2ric en n\u00famero d\u00b4inversions de capital privat i el millor semestre de fundraising (increment del 22% respecte del primer semestre de 2022)\u201d.<\/strong><\/p><p class=\"wp-block-paragraph\"><br>Vol\u00edem des de la BFS &#8211; IEF <strong>posar en valor les figures de Compliance<\/strong>, de riscos i tot all\u00f2 associat al control intern de les entitats regulades tancades. En aquest sentit la senyora Carmen Cors\u00edn ens va explicar a quins tipus de risc s\u2019enfronten aquestes entitats, remarcant que la clau est\u00e0 en els requeriments organitzatius que la normativa vigent requereix. La regulaci\u00f3 local i tamb\u00e9 comunit\u00e0ria que afecta a les entitats de capital risc, com serien la Llei 22\/2014, La Directiva GFIA o Reglament Delegat (UE) 231\/2013 fan constar quins s\u00f3n aquests requisits i la obligatorietat del seu compliment. De fet complir amb les obligacions de control intern s\u00f3n imprescindibles per poder obtenir l\u2019 autoritzaci\u00f3 d\u2019 una societat gestora de tipus tancat com seria una SGEIC.<\/p><p class=\"wp-block-paragraph\">La ponent ens va parlar tamb\u00e9 de les gestores anomenades de cap\u00edtol II, \u00e9s a dir, de les que estan autoritzades a operar amb clients minoristes i d\u2019 aquelles obligacions que aquestes tenen versus les que no ho fan. Sabem que quan es tracta de clients minoristes segons la Directiva de mercats i instruments financers, MiFID, les dilig\u00e8ncies s\u00f3n m\u00e9s complexes, el coneixement del client ha de ser m\u00e9s exhaustiu i cal generar evid\u00e8ncies de tot el proc\u00e9s d\u2019 alta del inversor.<\/p><p class=\"wp-block-paragraph\">Pel que fa a la funci\u00f3 de control interna ens va explicar que parl\u00e0vem de: (i) la funci\u00f3 d\u2019 auditoria, (ii) la funci\u00f3 de Compliance i (iii) la funci\u00f3 de control de riscs.<br>Les normes estableixen l\u2019 obligatorietat d\u2019aquestes funcions, ja siguin de totes o d&#8217;algunes d\u2019elles, segons el tipus d\u2019entitat de la qual es tracti i de les activitats que cada una tingui autoritzades. Es va parlar de l\u2019externalitzaci\u00f3 d\u2019aquestes funcions de control, ens quins casos \u00e9s viable fer-ho i en quins no. I en el cas de ser possible de quina manera s\u2019 hauria de dur a terme aquesta externalitzaci\u00f3.<\/p><p class=\"wp-block-paragraph\">En aquest Finance Aferwork vam tenir l\u2019oportunitat de con\u00e8ixer una mica m\u00e9s el paper de les diferents funcions de control intern per les entitats de capital risc de la m\u00e0 del propi regulador, la Comisi\u00f3n Nacional del Mercado de Valores (CNMV).<\/p><p class=\"wp-block-paragraph\"><\/p><p class=\"wp-block-paragraph\">Elisabet Escayola<\/p><p class=\"wp-block-paragraph\"><em>Responsable de l&#8217;\u00e0rea de compliance IEF-BFS<\/em><\/p>","protected":false},"excerpt":{"rendered":"<p>El passat dia 21 de setembre des de l\u2019\u00e0rea de Compliance de la Barcelona Finance School (BFS) &#8211; Institut d\u2019 Estudis Financers (IEF) v\u00e0rem organitzar un Finance Aferwork per parlar de la import\u00e0ncia del control intern en les gestores d\u2019entitats d\u2019inversi\u00f3 col\u00b7lectiva tancades amb la participaci\u00f3 de la Sra. Carmen Cors\u00edn, coordinadora del Departament d&#8217;Autoritzaci\u00f3 [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":5205,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"content-type":"","footnotes":""},"categories":[83],"tags":[99],"class_list":["post-5203","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-formacio","tag-compliance-ca"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.5 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>La import\u00e0ncia del control intern en les SGEIC - Barcelona Finance School<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/barcelonafinanceschool.com\/ca\/importancia-control-intern-sgeic\/\" \/>\n<meta property=\"og:locale\" content=\"ca_ES\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"La import\u00e0ncia del control intern en les SGEIC - Barcelona Finance School\" \/>\n<meta property=\"og:description\" content=\"El passat dia 21 de setembre des de l\u2019\u00e0rea de Compliance de la Barcelona Finance School (BFS) &#8211; Institut d\u2019 Estudis Financers (IEF) v\u00e0rem organitzar un Finance Aferwork per parlar de la import\u00e0ncia del control intern en les gestores d\u2019entitats d\u2019inversi\u00f3 col\u00b7lectiva tancades amb la participaci\u00f3 de la Sra. 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