Archives - Governance
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1 October 2008 Generally Accepted Principles and Practices for Sovereign Wealth Funds ("Santiago Principles")
The purpose of the Santiago Principles is to identify a framework of generally accepted principles and practices that properly reflect appropriate governance and accountability arrangements as well as the conduct of investment practices by SWFs on a prudent and sound basis. -
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. -
26 April 2005 Compliance and the compliance function in banks
This document provides basic guidance for banks and sets out banking supervisors' views on compliance in banking organisations. -
25 September 2003 Statement of Principles for Addressing Sell-Side Securities Analyst Conflicts of Interest
This document sets out principles that are intended to address key issues regarding analyst conflicts of interest. -
1 October 2002 Principles of Auditor Independence and the Role of Corporate Governance in Monitoring an Auditor's Independence
These principles governing independence of auditors of financial statements of listed entities and Principles relating to the oversight of an external auditor's independence by a body or bodies within an entity's corporate governance structure ("audit committee").
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