Archives - Institutional and Market Infrastructure

• 1 November 2021 Environmental, Social and Governance (ESG) Ratings and Data Products Providers

  The recommendations start with a proposal that regulators could consider focusing greater attention on the use of ESG ratings and data products and the activities of ESG rating and data products providers in their jurisdictions; followed by a set of recommendations addressed to ESG ratings and data products providers, setting out that they could consider a number of factors related to issuing high quality ratings and data products, including publicly disclosed data sources, defined methodologies, management of conflicts of interest, high levels of transparency, and handling confidential information; the recommendations also suggest that users of ESG ratings and data products could consider conducting due diligence on the ESG ratings and data products that they use within their internal processes; the recommendations close with suggestions that ESG ratings and data products providers, and entities subject to assessment by ESG ratings and data products providers could consider to improve information gathering processes, disclosures and communication between providers and entities subject to assessment.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision, Institutional and Market Infrastructure

• 1 November 2021 Recommendations on Sustainability-Related Practices, Policies, Procedures and Disclosure in Asset Management

  The recommendations aim to improve sustainability-related practices, policies, procedures and disclosures in the asset management industry, and include guidance on product disclosure, supervision and enforcement, terminology, and the relevant financial and investor education.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision, Institutional and Market Infrastructure

• 1 October 2021 Principles on Outsourcing

  The seven principles set out expectations for regulated entities that outsource tasks, along with guidance for implementation.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision, Institutional and Market Infrastructure

• 1 September 2021 The use of artificial intelligence (AI) and machine learning (ML) by market intermediaries and asset managers

  The guidance measures propose guidance that member jurisdictions may consider adopting to address the conduct risks associated with the development, testing and deployment of AI and ML.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision, Institutional and Market Infrastructure

• 16 January 2020 Clock Synchronisation

  IOSCO Recommendation: Market Authorities should consider requiring Trading Venues and their participants within their jurisdiction to synchronise, consistent with industry standards, the business clocks they use to record the date and time of any reportable event. Where they do so, business clocks should be synchronised to Coordinated Universal Time (UTC).

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision, Institutional and Market Infrastructure

• 9 October 2019 Governance Arrangements for critical OTC derivatives data elements (other than UTI and UPI)

  Focused guidance on governance arrangements for data elements of critical OTC derivatives

  Content Type(s): Compendium Source(s): CPMI, IOSCO Policy Area(s): Institutional and Market Infrastructure

• 1 August 2018 Mechanisms Used by Trading Venues to Manage Extreme Volatility and Preserve Orderly Trading

  Recommendations applicable to the establishment, use and on-going monitoring of mechanisms that may be used to manage extreme, including abnormal, volatility, and/or preserve orderly trading.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision, Institutional and Market Infrastructure

• 21 June 2018 Funding strategy elements of an implementable resolution plan

  This guidance covers the development of a resolution funding plan for G-SIBs. It builds on the FSB’s August 2016 Guiding Principles on the temporary funding needed to support the orderly resolution of a global systemically important bank (G-SIB) and existing supervisory and resolution guidance on liquidity risk management and resolution planning.

  Content Type(s): Compendium Source(s): FSB Policy Area(s): Institutional and Market Infrastructure, Resolution and Crisis Management

• 21 June 2018 Principles on bail-in execution

  This guidance sets out principles for authorities to consider as they develop plans for the effective execution of bail-in resolution strategies for global systemically important banks (G-SIBs). The principles may also be applicable to firms other than G-SIBs to the extent that the application of bail-in powers is envisaged under the authorities’ resolution strategy for those firms.

  Content Type(s): Compendium Source(s): FSB Policy Area(s): Institutional and Market Infrastructure, Resolution and Crisis Management

• 8 May 2018 Strategy to reduce the risk of wholesale payments fraud related to endpoint security

  A high-level strategy to reduce the risk of wholesale payments fraud related to endpoint security.

  Content Type(s): Compendium Source(s): CPMI Policy Area(s): Institutional and Market Infrastructure