Archives - IOSCO - International Organization of Securities Commissions

• 13 April 2022 Call for papers: Vulnerabilities from liquidity mismatch in open-ended funds and policies to address them

  The FSB and IOSCO are co-hosting a virtual research conference on vulnerabilities from liquidity mismatch in open-ended funds and policies to address them on 16 and 17 June 2022.

  Content Type(s): Announcements, Press Source(s): FSB, IOSCO

• 10 March 2022 Central Counterparty Financial Resources for Recovery and Resolution

  This report presents the outcome of evidence gathering and analysis on existing financial resources and tools for central counterparty (CCP) recovery and resolution.

  Content Type(s): Publications Source(s): CPMI, FSB, IOSCO Policy Area(s): Resolution and Crisis Management

• 10 March 2022 FSB, CPMI and IOSCO analysis highlights need to continue work on CCP financial resources

  Analysis of existing financial resources and tools for central counterparty (CCP) recovery and resolution confirms the need for further work on CCP financial resources for recovery and resolution.

  Content Type(s): Press, Press Releases Source(s): CPMI, FSB, IOSCO Policy Area(s): Resolution and Crisis Management

• 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

• 1 September 2020 Conflicts of interest and associated conduct risks during the debt capital raising process

  This Report proposes Guidance to help IOSCO members address the risk of conflicts of interest and associated conduct risks during the debt capital raising process.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision

• 26 May 2020 Financial policymakers discuss responses to COVID-19 with the private sector

  Official and private sector participants discuss effectiveness of COVID-related financial policy measures.

  Content Type(s): Press, Press Releases Source(s): BCBS, CPMI, FSB, IAIS, IOSCO Policy Area(s): COVID-19

• 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