Archives - Financial Regulation and Supervision
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1 November 2010 IOPS Principles of Private Pension Supervision
The objectives of private pension supervision focus on protecting the interests of pension fund members and beneficiaries, by promoting the stability, security and good governance of pension funds. -
28 October 2010 Recognising the risk-mitigating impact of insurance in operational risk modelling
This document clarifies supervisory expectations on the range of industry AMA practices while promoting increased convergence in operational risk management. -
1 October 2010 Principles for Reducing Reliance on CRA Ratings
The goal of these principles is to reduce mechanistic reliance on ratings and to incentivise improvements in independent credit risk assessment and due diligence capacity. -
1 August 2010 Principles for Direct Electronic Access to Markets
This report sets forth elements regarding principles pertinent to direct electronic access (DEA), including those that address pre-conditions for DEA, information flow, and adequate systems and controls and is intended to guide markets, intermediaries and regulators. -
1 July 2010 Transparency of Structured Finance Products
IOSCO sets out a number of factors that are designed to assist market authorities when considering how to enhance post-trade transparency of SFPs in their respective jurisdictions. -
1 May 2010 Principles Regarding Cross-Border Supervisory Cooperation
This report distills the critical elements of supervisory cooperation into a set of principles designed to guide IOSCO members in developing cooperative supervisory arrangements amongst themselves, tailored to their own markets and circumstances, and their own legal powers and requirements. -
12 April 2010 Guidance paper on the treatment of non-regulated entities in group-wide supervision
The purpose of this paper is to encourage the establishment of sufficient supervisory power and authority to ensure that supervision has proper regard to all entities which may affect the overall risk profile and/or financial position of the group as a whole and/or the individual entities within the group; and to promote greater consistency between jurisdictions. -
1 April 2010 Disclosure Principles for Public Offerings and Listings of Asset-Backed Securities
The disclosure topics highlighted in the ABS Disclosure Principles are intended as a starting point for consideration and analysis by securities regulators. -
18 March 2010 Report and recommendations of the Cross-border Bank Resolution Group
The Basel Committee's Cross-border Bank Resolution Group (CBRG) developed the Recommendations as a product of its stocktaking of legal and policy frameworks for cross-border crises resolutions and its follow-up work to identify the lessons learned from the financial crisis which began in August 2007. -
1 February 2010 Principles for Periodic Disclosure by Listed Entities
Issuers should be required to make certain periodic reports, such as annual reports and other interim reports, in which certain prescribed disclosures must be provided at regular intervals to the public.