Principles against which both the industry and regulators can assess the quality of regulation and industry practices concerning suspensions of redemptions.
IOSCO
19 January 2012
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
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
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 May 2011
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 that are designed to assist markets and market authorities when considering point of sale disclosure requirements for collective investment schemes (CIS).
1 August 2010
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
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.
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.
The disclosure topics highlighted in the ABS Disclosure Principles are intended as a starting point for consideration and analysis by securities regulators.