Compliance and legal manager | Alpha Inversiones
Esther Toral Garcia
Compliance and legal manager | Alpha Inversiones
First, can you please give us an idea of the sort of work your team has done recently?
The growth of the stock market in recent years has brought modifications to the laws and regulations of the sector, so we have had to adapt to the changes that have arisen with the challenge of educating investors about what the stock market is, being a regulated market. We assume a challenge in a little known and changing market, which, in turn, is a fundamental pillar for the development of the country, in which it depends on the trust of customers, so we must continuously seek a balance between the needs of the stock market and regulatory compliance, both at the market level and money laundering prevention.
How do you stay up-to-date with changes in laws and regulations relevant to your organisation’s industry?
As we belong to a regulated market, which has the Superintendence of the securities market as its supervisory entity, we must comply with the regulations of the sector that require us, as well as be aware of the modifications of laws and regulations of the common law that could apply to us. We are constantly attentive to any changes arising from the legal system applied to the sector in which we belong.
What is a cause, business related or otherwise, that you care about, and why?
More than worry, I see it as a challenge. And it is to educate people so that they know the Dominican stock market and are encouraged to invest. We are currently aiming to educate more people on the market, relying on easily accessible resources such as social networks today, podcast, publications on LinkedIn, YouTube, Instagram, among other platforms. This allows us to reach more people in an easy and digestible way for those interested.