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.
IOSCO
1 August 2010
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.