Compendium of Standards
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26 November 2009 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. -
1 November 2009 IOPS Guidelines for Supervisory Intervention, Enforcement and Sanctions
These guidelines outline how pension supervisory authorities should apply their intervention, enforcement and sanction powers. -
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 September 2009 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. -
1 July 2009 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. -
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. -
1 June 2009 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. -
12 May 2009 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. -
6 May 2009 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.