Archives - Financial Regulation and Supervision
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1 April 2009 Principles for Cross-Border Cooperation in Crisis Management
This document includes high-level principles for cross-border cooperation on crisis management between relevant authorities. -
1 December 2008 IOPS Guidelines for the Supervisory Assessment of Pension Funds
The purpose of these guidelines is to provide pension supervisors with general supervisory approaches for the conduct of the supervisory process. -
25 September 2008 Principles for Sound Liquidity Risk Management and Supervision
This document expanded the 2000 Sound Practices for Managing Liquidity in Banking Organisations in a number of key areas by taking into account financial market developments as well as lessons learned from the turmoil. -
1 July 2008 Credit Risk Transfer
The documents review credit risk transfer (CRT) activity on the basis of a number of interviews and discussions with market participants, and include recommendations to improve risk management practices, disclosure, and supervisory approaches for CRT. -
1 May 2008 Code of Conduct Fundamentals for Credit Ratings Agencies
Following publication of the CRA Principles, IOSCO decided to develop a more specific and detailed code of conduct giving guidance on how the Principles could be implemented in practice. This Code of Conduct Fundamentals for Credit Rating Agencies is the fruition of this exercise. -
1 March 2008 OECD/IOPS Guidelines on the Licensing of Pension Entities
These guidelines provide a framework for licensing regulations and the assessment of licensing applications from pension entities. -
1 November 2007 Principles for home-host supervisory cooperation and allocation mechanisms in the context of Advanced Measurement Approaches (AMA)
This document sets out principles related to two important topics in the implementation of the Advanced Measurement Approaches (AMA) for operational risk under Basel II. -
1 November 2007 Principles for the Valuation of Hedge Fund Portfolios
This document sets out principles for valuing the investment portfolios of hedge funds that are designed to mitigate the structural and operational conflicts of interest that may arise between the interests of the hedge fund manager and the interests of the hedge fund. -
1 March 2007 International Disclosure Principles for Cross Border Offerings and Listing of Debt Securities by Foreign Issuers
These principles provide guidance to securities regulators who are developing or reviewing their regulatory disclosure regimes for cross-border offerings and listings of debt securities. -
1 February 2007 IAIS Multilateral Memorandum of Understanding on Cooperation and Information Exchange (IAIS MMoU)
The objective of the IAIS MMoU is to provide a tool for supervisors by establishing a formal basis for cooperation and information exchange between Signatory Authorities regarding the supervision of insurance companies where cross-border aspects arise. This is inline with the IAIS' broader objective to encourage cooperation and information exchange amongst insurance supervisors.