Archives - IOSCO - International Organization of Securities Commissions
-
19 January 2012 Suspension of Redemptions in Collective Investment Schemes
Principles against which both the industry and regulators can assess the quality of regulation and industry practices concerning suspensions of redemptions. -
1 January 2012 Report on OTC Derivatives Data Reporting and Aggregation Requirements
Obligation of OTC derivatives contracts to be reported to trade repositories (TRs) in order to improve transparency, mitigate systemic risk and protect against market abuse in the OTC derivatives markets. -
1 October 2011 Regulation of Nominee Accounts in Emerging Markets
This report intends to identify effective regulatory mechanisms and tools for the nominee account system, develop recommendations to better regulate nominee accounts and help regulators address relevant investor protection issues. -
1 October 2011 Regulatory Issues Raised by the Impact of Technological Changes on Market Integrity and Efficiency
These recommendations are aimed at promoting market integrity and efficiency and at mitigating the risks posed to the financial system by the latest technological developments including high frequency and algorithmic trading. -
1 September 2011 Principles for the Regulation and Supervision of Commodity Derivatives Markets
These principles are aimed at ensuring a globally consistent approach to the oversight of commodity derivatives markets which will deliver effective supervision, combat market manipulation and improve price transparency. -
1 May 2011 Principles to Address Dark Liquidity
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. -
1 February 2011 Principles on Point of Sale Disclosure
Principles that are designed to assist markets and market authorities when considering point of sale disclosure requirements for collective investment schemes (CIS). -
1 August 2010 Principles for Direct Electronic Access to Markets
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 Transparency of Structured Finance Products
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. -
1 May 2010 Principles Regarding Cross-Border Supervisory Cooperation
This report distills the critical elements of supervisory cooperation into a set of principles designed to guide IOSCO members in developing cooperative supervisory arrangements amongst themselves, tailored to their own markets and circumstances, and their own legal powers and requirements.