Archives - Market Regulation
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1 December 2013 Regulation of retail structured products
This Report sets out a toolkit outlining regulatory options that IOSCO members may find useful in their regulation of retail structured products. -
1 December 2013 Regulatory issues raised by changes in market structure
This Report identifies possible outstanding issues and risks posed by existing or developing market structures and includes recommendations to address the identified potential risks. -
24 June 2013 Principles for the Regulation of Exchange Traded Funds
This report outlines a list of 9 principles against which both the industry and regulators can assess the quality of regulation and industry practices concerning Exchange Traded Funds (ETF). Generally, these principles reflect a common approach and are a practical guide for regulators and industry practitioners. -
7 May 2013 Principles for the Valuation of Collective Investment Schemes
This document outlines a set of 11 principles for the valuation of Collective Investment Schemes (CIS) and are intended to be a basis against which both the industry and regulators can assess the quality of regulation and industry practices concerning CIS valuation. -
4 March 2013 Principles of Liquidity Risk Management for Collective Investment Schemes
This document outlines a set of principles against which both the industry and regulators can assess the quality of regulation and industry practices concerning liquidity risk management for collective investment schemes (CIS). These principles aim to reflect a level of common approach and to be a practical guide for regulators and industry practitioners. -
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. -
2 October 2012 Principles for Oil Price Reporting Agencies
These principles detail a set of recommended practices for Price Reporting Agencies (PRAs) that produce assessments which are referenced by oil derivatives contracts. -
3 June 2012 Regulation of Institutional Investors in Emerging Markets
This report makes recommendations to help emerging market regulators and policy makers develop and regulate institutional investors. -
1 June 2012 International Standards for Derivatives Market Intermediary Regulation
This report focuses on the regulation of Derivatives Market Intermediaries (DMIs). The recommendations in the report are intended to address: DMI obligations that should help mitigate systemic risks; requirements intended to manage counterparty risk; and protecting participants in the OTC derivatives markets from unfair, improper or fraudulent practices.
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