Compendium

Policy Framework for Effective and Efficient Financial Regulation

The Policy Framework offers a high-level set of principles for financial regulation, intended to support efforts to achieve stronger, more resilient financial systems.

IOPS Guidelines for Supervisory Intervention, Enforcement and Sanctions

These guidelines outline how pension supervisory authorities should apply their intervention, enforcement and sanction powers.

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.

Principles and Implementation Standards for Sound Compensation Practices

The Principles and Standards for Sound Compensation Practices intend to reduce incentives towards excessive risk taking that may arise from the structure of compensation schemes for significant financial institutions.

Principles on Outsourcing by Markets

Outsourcing poses important challenges to the integrity and effectiveness of the financial and capital markets and for the market authorities.

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.

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.

Regulation of Short Selling

IOSCO developed high-level principles for the effective regulation of short selling. These principles are designed to assist regulators in their consideration of a regulatory regime for short selling.

Due diligence and transparency regarding cover payment messages related to cross-border wire transfers

This document describes the supervisory expectations for the information that must be included in payment messages related to cover payments, the various mechanisms that must be used to ensure that complete and accurate information has been included in such messages, and the use that should be made of the information for anti-money laundering and combating the financing of terrorism purposes.

Funding of Deposit Insurance Systems

This IADI guidance paper examines various approaches to funding used by deposit insurers and suggests guidance on the design of funding mechanisms and other closely related features of deposit insurance system.

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