Archives - IOSCO - International Organization of Securities Commissions

• 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.

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

• 1 September 2009 Unregulated Financial Markets and Products

  IOSCO developed recommendations in relation to  Unregulated Financial Markets and Products, in particular to securitisation and credit default swap markets.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision Topic(s): Market Regulation, Transparency and Disclosure

• 1 July 2009 Principles on Outsourcing by Markets

  Outsourcing poses important challenges to the integrity and effectiveness of the financial and capital markets and for the market authorities.

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

• 1 June 2009 Report on Good Practices in Relation to Investment Managers' Due Diligence When Investing in Structured Finance Instruments

  IOSCO establishes good practices in relation to investment managers' due diligence when investing in structured finance instruments.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision Topic(s): Market Regulation, Risk Management

• 1 June 2009 Hedge Funds Oversight

  This report contains six high level principles on the regulation of hedge funds including mandatory registration, appropriate disclosures and sharing of information.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision Topic(s): Market Regulation, Prudential Supervision and Oversight

• 1 June 2009 Regulation of Short Selling

  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.

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

• 19 May 2009 Monitoring Group announces adoption of formal Charter

  The Monitoring Group, a group of international regulatory bodies and related organizations committed to advancing the public interest in areas related to international audit quality, announces the adoption of a formal Charter.

  Content Type(s): Press, Press Releases Source(s): BCBS, EC, FSB, IAIS, IFIAR, IOSCO, WB Policy Area(s): AAQ

• 1 July 2008 Credit Risk Transfer

  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.

  Content Type(s): Compendium Source(s): BCBS, IAIS, IOSCO, JF Policy Area(s): Financial Regulation and Supervision Topic(s): Prudential Supervision and Oversight, Risk Management

• 1 May 2008 Code of Conduct Fundamentals for Credit Ratings Agencies

  Following publication of the CRA Principles, IOSCO decided to develop a more specific and detailed code of conduct giving guidance on how the Principles could be implemented in practice. This Code of Conduct Fundamentals for Credit Rating Agencies is the fruition of this exercise.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision Topic(s): Governance, Risk Management

• 1 November 2007 Principles for the Valuation of Hedge Fund Portfolios

  This document sets out principles for valuing the investment portfolios of hedge funds that are designed to mitigate the structural and operational conflicts of interest that may arise between the interests of the hedge fund manager and the interests of the hedge fund.

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