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.
Financial Regulation and Supervision
1 October 2003
25 September 2003
This document sets out principles that are intended to address key issues regarding analyst conflicts of interest.
This document sets out principles for the activities of credit rating agencies (CRAs).
This document sets out 6 principles that should apply in fostering closer practical cooperation between supervisors so as to implement the New Accord as effectively and efficiently as possible.
This document expresses supervisory expectations and guidance as to banks carrying out cross-border electronic banking activities, as well as to their home and host supervisors.
1 February 2003
The principles are intended to provide useful guidance for issuers in preparing MD&A-type disclosure and for regulators in reviewing such disclosure.
1 January 2003
This document sets out the Committee's conclusions as regards the supervisory treatment of shell banks and booking offices.
1 January 2003
This document sets out supervisory guidance for dealing with parallel banks.