Archives - Consumer and Investor Protection
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11 December 2022 G20/OECD High-Level Principles on Financial Consumer Protection
The G20/OECD High-Level Principles on Financial Consumer Protection are the international standard for effective and comprehensive financial consumer protection frameworks. -
31 May 2017 Objectives and Principles of Securities Regulation
This IOSCO document sets out 38 Principles of securities regulation, which are based upon three objectives of securities regulation: protecting investors; ensuring that markets are fair, efficient and transparent; reducing systemic risk. This document is a revised version of the Principles adopted in 2010. -
30 April 2014 Point of Sale disclosure in the insurance, banking and securities sectors
The report identifies and assesses differences and gaps in regulatory approaches to point of sale (POS) disclosure for investment and savings products across the insurance, banking and securities sectors, and considers whether the approaches need to be further aligned across sectors. -
1 January 2014 Recommendations regarding the protection of client assets
This Report sets out eight Principles regarding the protection of client assets. -
22 January 2013 Suitability Requirements With Respect To the Distribution of Complex Financial Products
IOSCO issued nine principles to promote robust customer protection in connection with the distribution of complex financial products by intermediaries, including guidance on how the applicable suitability requirements should be implemented. -
4 November 2012 Principles for the Ongoing Disclosure of Asset-Backed Securities
The Principles for Ongoing Disclosure for Asset Backed Securities aim to enhance investor protection by providing guidance to regulators that are developing or reviewing their disclosure regimes for offerings and listings of asset backed securities. -
16 January 2007 General Principles for International Remittances Services
The General Principles for International Remittances Services (GPs) provide guidance on how to improve the national market for international remittances by increasing efficiency and ultimately reducing the cost of transfer. -
1 December 2000 Delegation of Functions
This document defines general principles concerning both the actual implementation of the delegation of functions by operators of collective investment schemes and its supervision by the regulators concerned.