This report intends to identify effective regulatory mechanisms and tools for the nominee account system, develop recommendations to better regulate nominee accounts and help regulators address relevant investor protection issues.
IOSCO
1 October 2011
1 October 2011
These recommendations are aimed at promoting market integrity and efficiency and at mitigating the risks posed to the financial system by the latest technological developments including high frequency and algorithmic trading.
1 May 2011
These principles focus on a number of areas of regulatory concern which may adversely impact the market including transparency and price discovery, market fragmentation, knowledge of trading intentions, fair access; and the ability to assess actual trading volume in dark pools.
1 February 2011
Principles that are designed to assist markets and market authorities when considering point of sale disclosure requirements for collective investment schemes (CIS).