These principles focus on a number of areas of regulatory concern which may adversely impact the market including transparency and price discovery, market fragmentation, knowledge of trading intentions, fair access; and the ability to assess actual trading volume in dark pools.
Financial Regulation and Supervision
1 May 2011
1 February 2011
Principles that are designed to assist markets and market authorities when considering point of sale disclosure requirements for collective investment schemes (CIS).
The good practices reflect what pension regulatory and supervisory authorities usually expect to examine when assessing the risk management of pension funds that use alternative investments and derivatives are designed to help supervisory authorities in their oversight of alternative investments made by pension funds.
This document serves as a supplement to the requirements set out in the Basel III rules text. In addition to providing guidance for national authorities, this document should help banks understand and anticipate the buffer decisions in the jurisdictions to which they have credit exposures.
This guidance sets out supervisory expectations as well as recommendations to strengthen the backtesting of internal assessments of counterparty credit risk exposures.
1 November 2010
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.
This document clarifies supervisory expectations on the range of industry AMA practices while promoting increased convergence in operational risk management.
1 October 2010
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
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
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.