Archives - Financial Regulation and Supervision
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1 October 2002 Principles for Ongoing Disclosure and Material Development Reporting by Listed Entities
These are a set of common high level principles for ongoing disclosure and, in particular, material development disclosure by all listed entities, leaving the possibility for individual jurisdictions to add further requirements. -
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. -
1 September 2000 Principles for the Management of Credit Risk
This paper provides guidance on credit risk in all types of banking activities, including lending, trading, investments, liquidity/funding management and asset management (September 2000). -
1 January 1999 Sound Practices for Banks' Interactions with Highly Leveraged Institutions
This paper sets out sound practice standards for the management of counterparty credit risk inherent in banks' trading and derivatives activities with highly leveraged institutions (HLIs). -
1 September 1998 Enhancing Bank Transparency
This paper discusses the role of information in effective market discipline and effective banking supervision, recommending that banks provide timely information to market participants and that supervisors focus their efforts on encouraging high-quality public disclosure at reasonable cost (September 1998). -
1 September 1998 Framework for Internal Control Systems in Banking Organisations
The paper describes the essential elements of a sound internal control system. The principles set out in the paper are intended to be of general application and supervisory authorities should use them in assessing their own supervisory methods and procedures for monitoring how banks structure their internal control systems. -
1 September 1998 International Disclosure Standards for Crossborder Offerings and Initial Listings by Foreign Issuers
These international disclosure standards reflect a consensus among securities regulators in the major capital markets as to the type of information that should be disclosed in cross-border offerings and listings of equity securities. The standards cover fundamental disclosure topics such as the description of the issuers' business, results of operations, management and the securities it plans to offer or list. -
1 November 1997 Principles for Record Keeping,Collection of Information, Enforcement Powers and Mutual Cooperation to Improve the Enforcement of Securities and Futures Laws,
The document sets out requirements for regulators on record keeping, collection of information, enforcement powers and mutual cooperation. -
1 October 1997 Tokyo Communiqué on Supervision of Commodity Futures Markets ("Tokyo Communiqué")
The document sets out an agreement among regulators on commodity futures markets' oversight. -
1 September 1997 Model Memorandum of Understanding
This Memorandum of Understanding (MoU) is designed to facilitate mutual assistance and the exchange of information on insurance matters between regulatory bodies in different jurisdictions.