Archives - IOSCO - International Organization of Securities Commissions

• 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

• 13 December 2019 Recommendations for a framework assessing leverage in investment funds

  Drawing on established national and regional regimes for measuring, collecting and analysing information related to leverage in funds, IOSCO has developed a two-step framework – the “Leverage Framework' – to facilitate more meaningful monitoring of leverage in funds for financial stability purposes in a consistent manner across jurisdictions.

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

• 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

• 19 November 2018 Incentives to centrally clear over-the-counter (OTC) derivatives

  A post-implementation evaluation of the effects of the G20 financial regulatory reforms.

  Content Type(s): Evaluations, Progress Reports, Publications, Reports to the G20 Source(s): BCBS, CPMI, FSB, IOSCO Policy Area(s): Effects of Reforms, OTC Derivatives, SIFIs

• 19 November 2018 Evaluation of incentives to centrally clear OTC derivatives: Overview of responses to the consultation

  An overview of responses to the August 2018.

  Content Type(s): Publications, Responses to Consultations Source(s): BCBS, CPMI, FSB, IOSCO Policy Area(s): Effects of Reforms, OTC Derivatives