These principles focus on a number of areas of regulatory concern which may adversely impact the market including transparency and price discovery, market fragmentation, knowledge of trading intentions, fair access; and the ability to assess actual trading volume in dark pools.
IOSCO
1 May 2011
1 February 2011
Principles that are designed to assist markets and market authorities when considering point of sale disclosure requirements for collective investment schemes (CIS).
1 August 2010
This report sets forth elements regarding principles pertinent to direct electronic access (DEA), including those that address pre-conditions for DEA, information flow, and adequate systems and controls and is intended to guide markets, intermediaries and regulators.
1 July 2010
IOSCO sets out a number of factors that are designed to assist market authorities when considering how to enhance post-trade transparency of SFPs in their respective jurisdictions.
This report distills the critical elements of supervisory cooperation into a set of principles designed to guide IOSCO members in developing cooperative supervisory arrangements amongst themselves, tailored to their own markets and circumstances, and their own legal powers and requirements.
The disclosure topics highlighted in the ABS Disclosure Principles are intended as a starting point for consideration and analysis by securities regulators.
1 February 2010
Issuers should be required to make certain periodic reports, such as annual reports and other interim reports, in which certain prescribed disclosures must be provided at regular intervals to the public.
1 September 2009
IOSCO developed recommendations in relation to Unregulated Financial Markets and Products, in particular to securitisation and credit default swap markets.
1 July 2009
Outsourcing poses important challenges to the integrity and effectiveness of the financial and capital markets and for the market authorities.
IOSCO establishes good practices in relation to investment managers' due diligence when investing in structured finance instruments.