Financial Regulation and Supervision

Policy Recommendations for Money Market Funds

IOSCO's recommendations aim to provide common standards for the regulation and management of money market funds (MMFs) across jurisdictions, articulated around some key principles of maturity, liquidity and credit risk. In addition, the aim of these recommendations is to supplement the existing frameworks where IOSCO considers there is still room for further reforms and improvements.

Core Principles for Effective Banking Supervision

The Core Principles for Effective Banking Supervision are the minimum standard for sound prudential regulation and supervision of banks and banking systems.

Supervision of Financial Conglomerates

The Joint Forum's final report on Principles for the Supervision of Financial Conglomerates provides a set of principles which supersedes the compendium of principles on this topic developed in 1999 and published in 2001 by the Joint Forum ('the 1999 Principles').

OECD/INFE High-level Principles on National Strategies for Financial Education

These high-level principles are aimed at supporting policymakers in the development and implementation of articulated and tailored national strategies for financial education based on an assessment of populations' needs.

The internal audit function in banks

This revised supervisory guidance for assessing the effectiveness of the internal audit function in banks forms part of the Committee's ongoing efforts to address bank supervisory issues and enhance supervision through guidance that encourages sound practices within banks. It takes into account developments in supervisory practices and in banking organisations and incorporates lessons drawn from the recent financial crisis.

Regulation of Institutional Investors in Emerging Markets

This report makes recommendations to help emerging market regulators and policy makers develop and regulate institutional investors.

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.

IOSCO Multilateral Memorandum of Understanding

This document is the basis for cooperation and exchange of information among IOSCO members and sets an international benchmark for cross-border cooperation.

FSB Principles for Sound Residential Mortgage Underwriting Practices

The principles provide a framework for jurisdictions to set minimum acceptable underwriting standards so as to limit the risks that mortgage markets pose to financial stability and to better safeguard borrowers and investors. The report also sets out an implementation framework through which jurisdictions can apply minimum lending standards, and describes tools that could be used to monitor and supervise these standards.

Requirements for Mandatory Clearing

This report outlines recommendations that authorities should follow in establishing a mandatory clearing regime within their jurisdiction.

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