This Report sets out a toolkit outlining regulatory options that IOSCO members may find useful in their regulation of retail structured products.
IOSCO
1 December 2013
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.
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.
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.
17 July 2013
An overarching framework containing guidance and principles for Benchmark-related activities that will address conflicts of interest in the Benchmark-setting process, as well as transparency and openness when considering issues related to transition.
This report outlines a list of 9 principles against which both the industry and regulators can assess the quality of regulation and industry practices concerning Exchange Traded Funds (ETF). Generally, these principles reflect a common approach and are a practical guide for regulators and industry practitioners.
This document outlines a set of 11 principles for the valuation of Collective Investment Schemes (CIS) and are intended to be a basis against which both the industry and regulators can assess the quality of regulation and industry practices concerning CIS valuation.
This document outlines a set of principles against which both the industry and regulators can assess the quality of regulation and industry practices concerning liquidity risk management for collective investment schemes (CIS). These principles aim to reflect a level of common approach and to be a practical guide for regulators and industry practitioners.
22 January 2013
IOSCO issued nine principles to promote robust customer protection in connection with the distribution of complex financial products by intermediaries, including guidance on how the applicable suitability requirements should be implemented.