Archives - IOSCO - International Organization of Securities Commissions

• 1 November 1997 Principles for Record Keeping,Collection of Information, Enforcement Powers and Mutual Cooperation to Improve the Enforcement of Securities and Futures Laws,

  The document sets out requirements for regulators on record keeping, collection of information, enforcement powers and mutual cooperation.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision Topic(s): Accounting and Auditing, Cooperation among Authorities, Legal Framework, Transparency and Disclosure