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.