Archives - Market Regulation
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1 September 2017 Harmonisation of the unique product identifier – technical guidance
This CPMI-IOSCO report provides technical guidance to authorities to enable them to set rules on assigning uniform global Unique Product Identifiers (UPI) to products involved in OTC derivatives transactions. -
1 July 2017 Resilience of central counterparties (CCPs): further guidance on the PFMI – final report
The purpose of this CPMI-IOSCO report is to provide guidance on certain principles and key considerations of the Principles for Financial Market Infrastructures (PFMI) relating to CCP financial risk management. -
31 May 2017 Objectives and Principles of Securities Regulation
This IOSCO document sets out 38 Principles of securities regulation, which are based upon three objectives of securities regulation: protecting investors; ensuring that markets are fair, efficient and transparent; reducing systemic risk. This document is a revised version of the Principles adopted in 2010. -
1 February 2017 Harmonisation of the unique transaction identifier – technical guidance
This CPMI-IOSCO report provides technical guidance to authorities to enable them to set rules on assigning uniform global Unique Transaction Identifiers (UTIs) to over-the-counter (OTC) derivatives transactions. -
10 November 2015 Standards for the Custody of Collective Investment Schemes’ Assets
This report seeks to clarify, modernise and further develop standards for the custody of "Collective Investment Schemes assets" consistent with the IOSCO Principles, including standards relating to the custody of CIS assets and standards relating to the appointment and ongoing engagement of custodians. -
7 August 2015 Post-Trade Transparency in the Credit Default Swaps Market
This report seeks to analyze the potential impact of post-trade transparency in one particular OTC derivatives market: the CDS market. -
24 March 2015 Code of Conduct Fundamentals for Credit Rating Agencies
The Code is intended to offer a set of robust, practical measures as a guide to and a framework for CRAs with respect to protecting the integrity of the rating process, ensuring that investors and issuers are treated fairly, and safeguarding confidential material information provided them by issuers. -
26 February 2015 Public quantitative disclosure standards for central counterparties
This document sets out the quantitative data that central counterparties (CCPs) should publish. -
28 January 2015 Risk Mitigation Standards for Non-centrally Cleared OTC Derivatives
The risk mitigation standards for non-centrally cleared over-the-counter (OTC) derivatives. -
1 January 2014 Recommendations regarding the protection of client assets
This Report sets out eight Principles regarding the protection of client assets.