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.
Market Regulation
18 April 2012
This document contains 24 principles to be observed by financial market infrastructures (systemically important payment systems, central securities depositories, securities settlement systems, central counterparties and trade repositories) and five responsibilities of relevant authorities in regulating, supervising and overseeing these infrastructures.
2 February 2012
This report outlines recommendations that authorities should follow in establishing a mandatory clearing regime within their jurisdiction.
Obligation of OTC derivatives contracts to be reported to trade repositories (TRs) in order to improve transparency, mitigate systemic risk and protect against market abuse in the OTC derivatives markets.
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.
The disclosure topics highlighted in the ABS Disclosure Principles are intended as a starting point for consideration and analysis by securities regulators.
1 September 2009
IOSCO developed recommendations in relation to Unregulated Financial Markets and Products, in particular to securitisation and credit default swap markets.
IOSCO establishes good practices in relation to investment managers' due diligence when investing in structured finance instruments.
1 June 2009
This report contains six high level principles on the regulation of hedge funds including mandatory registration, appropriate disclosures and sharing of information.
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