Archives - Financial Regulation and Supervision
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1 October 2003 Securities Activity on the Internet
These reports (issued in October 2003, Jun 2001 and Sep 1998) examine and provide guidance on issues relating to the impact of the Internet on securities regulation. They identify those Internet issues that should be addressed by each jurisdiction and provide guidelines on how to approach those issues. -
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 September 2003 IOSCO Statement Of Principles Regarding The Activities Of Credit Rating Agencies
This document sets out principles for the activities of credit rating agencies (CRAs). -
1 August 2003 High-level principles for the cross-border implementation of the New Accord
This document sets out 6 principles that should apply in fostering closer practical cooperation between supervisors so as to implement the New Accord as effectively and efficiently as possible. -
1 July 2003 Management and supervision of cross-border electronic banking activities
This document expresses supervisory expectations and guidance as to banks carrying out cross-border electronic banking activities, as well as to their home and host supervisors. -
1 February 2003 General Principles Regarding Disclosure of Management's Discussion and Analysis of Financial Condition and Results of Operations
The principles are intended to provide useful guidance for issuers in preparing MD&A-type disclosure and for regulators in reviewing such disclosure. -
1 January 2003 Shell banks and booking offices
This document sets out the Committee's conclusions as regards the supervisory treatment of shell banks and booking offices. -
1 January 2003 Parallel-owned banking structures
This document sets out supervisory guidance for dealing with parallel banks.