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310 results

Recommendations regarding the protection of client assets

1 January 2014

This Report sets out eight Principles regarding the protection of client assets.

Guidance for systemic risk management plans

20 December 2013

The document provides guidance to group-wide supervisors on how they would direct global systemically important insurers (G-SIIs) to develop systemic risk management plans (SRMPs).

Regulation of retail structured products

1 December 2013

This Report sets out a toolkit outlining regulatory options that IOSCO members may find useful in their regulation of retail structured products.

Regulatory issues raised by changes in market structure

1 December 2013

This Report identifies possible outstanding issues and risks posed by existing or developing market structures and includes recommendations to address the identified potential risks.

Principles for an Effective Risk Appetite Framework

18 November 2013

The FSB Principles set out key elements for an effective risk appetite framework (RAF) and establish common definitions for terms used in risk appetite frameworks. The Principles aim to help enhance supervisory oversight of firms, in particular of SIFIs, and communication between supervisors and financial institutions.

Good Practices for Governance of Pension Supervisory Authorities

1 November 2013

The Good Practices provide a list of internationally recognised good governance criteria for consideration and action by pension supervisors. They allow supervisory authorities to compare and evaluate their own governance codes against current global good practices and enable them to take measures to improve them, if necessary.

Best Practices Paper: The Use of the FATF Recommendations to Combat Corruption

1 October 2013

This Best Practices Paper aims to provide policy makers and practitioners with guidance and best practices on how AML/CFT measures can be used to combat corruption.

G20/OECD High-Level Principles of Long-Term Investment Financing by Institutional Investors

6 September 2013

The purpose of the G20/OECD High-Level Principles of Long-Term Investment Financing by Institutional Investors is to assist G20 and OECD countries and other interested economies to establish a framework for encouraging institutional investment in long-term assets.

Authorities’ access to trade repository data

12 August 2013

The purpose of the report is to provide guidance to trade repositories (TRs) and authorities on the principles that should guide authorities’ access to data held in TRs for typical and non-typical data requests.

Supervisory Colleges for Credit Rating Agencies

30 July 2013

This report recommends that supervisory colleges for internationally active CRAs (CRA colleges) be established to serve as a resource for CRA supervisors by facilitating information exchange and, if appropriate, cooperation.