Archives - Market Regulation
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18 April 2012 Principles for Financial Market Infrastructures
This document contains 24 principles to be observed by financial market infrastructures (systemically important payment systems, central securities depositories, securities settlement systems, central counterparties and trade repositories) and five responsibilities of relevant authorities in regulating, supervising and overseeing these infrastructures. -
2 February 2012 Requirements for Mandatory Clearing
This report outlines recommendations that authorities should follow in establishing a mandatory clearing regime within their jurisdiction. -
1 January 2012 Report on OTC Derivatives Data Reporting and Aggregation Requirements
Obligation of OTC derivatives contracts to be reported to trade repositories (TRs) in order to improve transparency, mitigate systemic risk and protect against market abuse in the OTC derivatives markets. -
1 September 2011 Principles for the Regulation and Supervision of Commodity Derivatives Markets
These principles are aimed at ensuring a globally consistent approach to the oversight of commodity derivatives markets which will deliver effective supervision, combat market manipulation and improve price transparency. -
1 August 2010 Principles for Direct Electronic Access to Markets
This report sets forth elements regarding principles pertinent to direct electronic access (DEA), including those that address pre-conditions for DEA, information flow, and adequate systems and controls and is intended to guide markets, intermediaries and regulators. -
1 July 2010 Transparency of Structured Finance Products
IOSCO sets out a number of factors that are designed to assist market authorities when considering how to enhance post-trade transparency of SFPs in their respective jurisdictions. -
1 April 2010 Disclosure Principles for Public Offerings and Listings of Asset-Backed Securities
The disclosure topics highlighted in the ABS Disclosure Principles are intended as a starting point for consideration and analysis by securities regulators. -
1 September 2009 Unregulated Financial Markets and Products
IOSCO developed recommendations in relation to Unregulated Financial Markets and Products, in particular to securitisation and credit default swap markets. -
1 June 2009 Report on Good Practices in Relation to Investment Managers' Due Diligence When Investing in Structured Finance Instruments
IOSCO establishes good practices in relation to investment managers' due diligence when investing in structured finance instruments. -
1 June 2009 Hedge Funds Oversight
This report contains six high level principles on the regulation of hedge funds including mandatory registration, appropriate disclosures and sharing of information.
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