IOSCO developed high-level principles for the effective regulation of short selling. These principles are designed to assist regulators in their consideration of a regulatory regime for short selling.
Market Regulation
1 June 2009
1 November 2007
This document sets out principles for valuing the investment portfolios of hedge funds that are designed to mitigate the structural and operational conflicts of interest that may arise between the interests of the hedge fund manager and the interests of the hedge fund.
1 March 2006
This document sets out principles with measures for implementation to assist market intermediaries to increase the effectiveness of their compliance function.
The document provides guidelines on how to apply global AMF/CFT standards to the operation of collective investment schemes (CIS).
These Principles are formulated in relation to client identification and beneficial ownership for the securities industry. The Client Due Diligence (CDD) process is a key component of securities regulatory requirements intended to achieve the principal objectives of securities regulation, the protection of investors; ensuring that markets are fair, efficient and transparent; and the prevention of the illegal use of the securities industry.
1 October 2003
These reports (issued in October 2003, Jun 2001 and Sep 1998) examine and provide guidance on issues relating to the impact of the Internet on securities regulation. They identify those Internet issues that should be addressed by each jurisdiction and provide guidelines on how to approach those issues.
25 September 2003
This document sets out principles that are intended to address key issues regarding analyst conflicts of interest.
The document sets out an agreement among regulators on commodity futures markets' oversight.
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