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.
Financial Regulation and Supervision
1 July 2009
Outsourcing poses important challenges to the integrity and effectiveness of the financial and capital markets and for the market authorities.
IOSCO establishes good practices in relation to investment managers' due diligence when investing in structured finance instruments.
1 June 2009
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
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
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.
The principles in this document promote strong governance processes around valuations; the use of reliable inputs and diverse information sources; the articulation and communication of valuation uncertainty to internal and external stakeholders; the allocation of sufficient banking and supervisory resources to the valuation process; independent verification and validation processes; consistency in valuation practices for risk management and reporting purposes, where possible; and strong supervisory oversight around bank valuation practices.
This document includes high-level principles for cross-border cooperation on crisis management between relevant authorities.
25 September 2008
This document expanded the 2000 Sound Practices for Managing Liquidity in Banking Organisations in a number of key areas by taking into account financial market developments as well as lessons learned from the turmoil.
1 July 2008
The documents review credit risk transfer (CRT) activity on the basis of a number of interviews and discussions with market participants, and include recommendations to improve risk management practices, disclosure, and supervisory approaches for CRT.