These principles provide guidance to securities regulators who are developing or reviewing their regulatory disclosure regimes for cross-border offerings and listings of debt securities.
IOSCO
1 March 2007
29 August 2006
The document outlines business continuity principles that apply to industry participants and financial authorities.
1 March 2006
This document sets out principles with measures for implementation to assist market intermediaries to increase the effectiveness of their compliance function.
The document provides guidelines on how to apply global AMF/CFT standards to the operation of collective investment schemes (CIS).
28 February 2005
15 February 2005
This document presents a set of principles to assist firms and regulators in considering their outsourcing activities
These Principles are formulated in relation to client identification and beneficial ownership for the securities industry. The Client Due Diligence (CDD) process is a key component of securities regulatory requirements intended to achieve the principal objectives of securities regulation, the protection of investors; ensuring that markets are fair, efficient and transparent; and the prevention of the illegal use of the securities industry.
1 October 2003
These reports (issued in October 2003, Jun 2001 and Sep 1998) examine and provide guidance on issues relating to the impact of the Internet on securities regulation. They identify those Internet issues that should be addressed by each jurisdiction and provide guidelines on how to approach those issues.
25 September 2003
This document sets out principles that are intended to address key issues regarding analyst conflicts of interest.
This document sets out principles for the activities of credit rating agencies (CRAs).