Public Reports

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Showing 1 to 20 of 783 results

1. CR/02/2025 Neo-brokers, Report of the Board of IOSCO
   Comments on the report should be submitted by 12 May 2025
   12 Mar 2025 - View Report
2. CR/01/2025 Artificial Intelligence in Capital Markets: Use Cases, Risks, and Challenges, Report of the Board of IOSCO
   Comments on the report should be submitted by 11 April 2025
   12 Mar 2025 - View Report | Related Public Reports (2)
   1. FR06/2021 The use of artificial intelligence and machine learning by market intermediaries and asset managers, Report of the Board of IOSCO
      07 Sep 2021 - View Report
   2. FR08/22 The Use of Innovation Facilitators in Growth and Emerging Markets, Report of the Board of IOSCO
      14 Jul 2022 - View Report
3. OR/01/2025 IOSCO Work Program 2025, Report of the Board of IOSCO
   12 Mar 2025 - View Report
4. FR/04/2025 Thematic Review on Technological Challenges to Effective Market Surveillance Issues and Regulatory Tools, Report of the Board of IOSCO
   19 Feb 2025 - View Report | Related Public Reports (1)
   1. FR04/13 Technological Challenges to Effective Market Surveillance Issues and Regulatory Tools, Report of the Board of IOSCO
      22 Apr 2013 - View Report | View comments received
5. IOSCO Statement on the IESBA's International Ethics Standards for Sustainability Assurance (Including International Independence Standards) (IESSA) and Other Revisions to the Code Relating to Sustainability Assurance and Reporting, Report of the Board of IOSCO
   17 Jan 2025 - View Report | Related Public Reports (2)
   1. IOSCO encourages standard-setters’ work on assurance of sustainability-related corporate reporting, Report of the Board of IOSCO
      15 Sep 2022 - View Report
   2. IOSCO Statement on the consultation on the Proposed International Ethics Standards for Sustainability Assurance (Including International Independence Standards) (IESSA) and Other Revisions to the Code Relating to Sustainability Assurance and Reporting, Report of the Board of IOSCO
      10 May 2024 - View Report
6. FR/03/2025 Streamlining variation margin processes and initial margin responsiveness of margin models in non-centrally cleared markets, Report of The Basel Committee on Banking Supervision (BCBS), The Committee on Payments and Market Infrastructures and Board of IOSCO
   15 Jan 2025 - View Report
7. FR/02/2025 Streamlining variation margin in centrally cleared markets – examples of effective practices, Report of The Basel Committee on Banking Supervision (BCBS), The Committee on Payments and Market Infrastructures and Board of IOSCO
   15 Jan 2025 - View Report
8. FR/01/2025 Transparency and responsiveness of initial margin in centrally cleared markets – review and policy proposals, Report of The Basel Committee on Banking Supervision (BCBS), The Committee on Payments and Market Infrastructures and Board of IOSCO
   15 Jan 2025 - View Report | Cover note
9. Summary of CPMI-IOSCO workshops on climate risks for financial market infrastructures, Committee on Payments and Market Infrastructures and the Board of IOSCO
   19 Dec 2024 - View Report
10. FR/09/2024 Evolution in the Operation, Governance and Business Models of Exchanges: Regulatory Implications and Good Practices, Report of the Board of IOSCO
    29 Nov 2024 - View Report
11. FR/11/2024 Targeted Implementation Review on Principles for the Regulation and Supervision of Commodity Derivatives Markets, Report of the Board of IOSCO
    25 Nov 2024 - View Report | Related Public Reports (1)
    1. FR02/23 Principles for the Regulation and Supervision of Commodity Derivatives Markets, Report of the Board of IOSCO
       31 Jan 2023 - View Report
12. FR/10/2024 Final Report on Post Trade Risk Reduction Services: Sound Practices for Consideration, Report of the Board of IOSCO
    25 Nov 2024 - View Report | Related Public Reports (1)
    1. CR03/2024 Post Trade Risk Reduction Services, Report of the Board of IOSCO
       Comments may be submitted by email on or before – 1 April 2024.
       26 Jan 2024 - View Report
13. CR/11/2024 Pre-hedging, Report of the Board of IOSCO
    Comments on the report should be submitted by 21 February 2025
    21 Nov 2024 - View Report
14. CR/09/2024 Digital Engagement Practices (DEPs), Report of the Board of IOSCO
    Comments on the report should be submitted by 20 January 2025
    19 Nov 2024 - View Report | Related Public Reports (24)
    1. FR01/11 Principles on Point of Sale Disclosure, Report of the Technical Committee of IOSCO
       01 Feb 2011 - View Report
    2. FR01/13 Suitability Requirements With Respect To the Distribution of Complex Financial Products, Report of the Board of IOSCO
       21 Jan 2013 - View Report
    3. FR04/2014 Report on the IOSCO Social Media and Automation of Advice Tools Surveys, Report of the Board of IOSCO
       24 Jul 2014 - View Report
    4. FR09/14 Strategic Framework for Investor Education and Financial Literacy, Report of the Board of IOSCO
       Consultation Document - Comments received on the consultation report posted here on 7 November 2014
       04 Nov 2014 - View Report | View comments received
    5. FR06/2015 Survey on Anti-Fraud Messaging, Report of the Board of IOSCO
       06 May 2015 - View Report
    6. FR21/2015 Sound Practices for Investment Risk Education, Report of the Board of IOSCO
       15 Sep 2015 - Available languages: English, French, Russian, Spanish
    7. FR07/2017 IOSCO Task Force Report on Wholesale Market Conduct, Report of the Board of IOSCO
       13 Jun 2017 - View Report
    8. FR08/2017 Order Routing Incentives, Report of the Board of IOSCO
       19 Jun 2017 - View Report
    9. FR03/2018 Senior Investor Vulnerability, Report of the Board of IOSCO
       08 Mar 2018 - Available languages: English, Portuguese, Japanese
    10. FR10/2018 The Application of Behavioural Insights to Financial Literacy and Investor Education Programs and Initiatives, Report of the IOSCO Committee 8 on Retail Investors (jointly with the OECD International Network on Financial Education)
        30 May 2018 - View Report
    11. FR17/2018 Report on Retail OTC Leveraged Products, Report of the Board of IOSCO
        19 Sep 2018 - View Report
    12. FR05/2019 The Application of Behavioral Insights to Retail Investor Protection, Report of the Board of IOSCO
        02 Apr 2019 - View Report
    13. FR13/2019 Core Competencies Framework on Financial Literacy for Investors, Report of the IOSCO Committee 8 on Retail Investors (jointly with the OECD International Network on Financial Education)
        30 Sep 2019 - View Report
    14. FR02/2020 Issues, Risks and Regulatory Considerations Relating to Crypto-Asset Trading Platforms, Report of the Board of IOSCO
        12 Feb 2020 - View Report
    15. FR12/2020 Investor Education on Crypto-Assets, Report of the Board of IOSCO
        22 Dec 2020 - View Report
    16. FR13/2020 Initial Findings and Observations About the Impact of COVID-19 on Retail Market Conduct, Report of the Board of IOSCO
        22 Dec 2020 - View Report
    17. FR01/2021 Complaint Handling and Redress System for Retail Investors, Report of the Board of IOSCO
        27 Jan 2021 - View Report
    18. CR02/2022 Report on Retail Distribution and Digitalisation, Report of the Board of IOSCO
        Comments on the report should be submitted by 17 March 2022
        17 Jan 2022 - View Report
    19. CR03/2022 Retail Market Conduct Task Force, Report of the Board of IOSCO
        Comments on the report should be submitted by 23 May 2022
        21 Mar 2022 - View Report
    20. OR01/2022 IOSCO Decentralized Finance Report, Report of the Board of IOSCO
        24 Mar 2022 - View Report
    21. FR10/22 Retail Investor Education in the Context of Sustainable Finance Markets and Products, Report of the Board of IOSCO
        31 Aug 2022 - View Report
    22. FR12/22 Report on Retail Distribution and Digitalisation, Report of the Board of IOSCO
        12 Oct 2022 - View Report
    23. FR15/22 Investor Behaviour and Investor Education in Times of Turmoil: Recommended Framework for Regulators based on Lessons Learned from the COVID-19 Pandemic, Report of the Board of IOSCO
        30 Nov 2022 - View Report
    24. FR05/23 Retail Market Conduct Task Force Final Report, Report of the Board of IOSCO
        30 Mar 2023 - View Report
15. CR/10/2024 Online Imitative Trading Practices: Copy Trading, Mirror Trading, Social Trading, Report of the Board of IOSCO
    Comments on the report should be submitted by 20 January 2025
    19 Nov 2024 - View Report | Related Public Reports (24)
    1. FR01/11 Principles on Point of Sale Disclosure, Report of the Technical Committee of IOSCO
       01 Feb 2011 - View Report
    2. FR01/13 Suitability Requirements With Respect To the Distribution of Complex Financial Products, Report of the Board of IOSCO
       21 Jan 2013 - View Report
    3. FR04/2014 Report on the IOSCO Social Media and Automation of Advice Tools Surveys, Report of the Board of IOSCO
       24 Jul 2014 - View Report
    4. FR09/14 Strategic Framework for Investor Education and Financial Literacy, Report of the Board of IOSCO
       Consultation Document - Comments received on the consultation report posted here on 7 November 2014
       04 Nov 2014 - View Report | View comments received
    5. FR06/2015 Survey on Anti-Fraud Messaging, Report of the Board of IOSCO
       06 May 2015 - View Report
    6. FR21/2015 Sound Practices for Investment Risk Education, Report of the Board of IOSCO
       15 Sep 2015 - Available languages: English, French, Russian, Spanish
    7. FR07/2017 IOSCO Task Force Report on Wholesale Market Conduct, Report of the Board of IOSCO
       13 Jun 2017 - View Report
    8. FR08/2017 Order Routing Incentives, Report of the Board of IOSCO
       19 Jun 2017 - View Report
    9. FR03/2018 Senior Investor Vulnerability, Report of the Board of IOSCO
       08 Mar 2018 - Available languages: English, Portuguese, Japanese
    10. FR10/2018 The Application of Behavioural Insights to Financial Literacy and Investor Education Programs and Initiatives, Report of the IOSCO Committee 8 on Retail Investors (jointly with the OECD International Network on Financial Education)
        30 May 2018 - View Report
    11. FR17/2018 Report on Retail OTC Leveraged Products, Report of the Board of IOSCO
        19 Sep 2018 - View Report
    12. FR05/2019 The Application of Behavioral Insights to Retail Investor Protection, Report of the Board of IOSCO
        02 Apr 2019 - View Report
    13. FR13/2019 Core Competencies Framework on Financial Literacy for Investors, Report of the IOSCO Committee 8 on Retail Investors (jointly with the OECD International Network on Financial Education)
        30 Sep 2019 - View Report
    14. FR02/2020 Issues, Risks and Regulatory Considerations Relating to Crypto-Asset Trading Platforms, Report of the Board of IOSCO
        12 Feb 2020 - View Report
    15. FR12/2020 Investor Education on Crypto-Assets, Report of the Board of IOSCO
        22 Dec 2020 - View Report
    16. FR13/2020 Initial Findings and Observations About the Impact of COVID-19 on Retail Market Conduct, Report of the Board of IOSCO
        22 Dec 2020 - View Report
    17. FR01/2021 Complaint Handling and Redress System for Retail Investors, Report of the Board of IOSCO
        27 Jan 2021 - View Report
    18. CR02/2022 Report on Retail Distribution and Digitalisation, Report of the Board of IOSCO
        Comments on the report should be submitted by 17 March 2022
        17 Jan 2022 - View Report
    19. CR03/2022 Retail Market Conduct Task Force, Report of the Board of IOSCO
        Comments on the report should be submitted by 23 May 2022
        21 Mar 2022 - View Report
    20. OR01/2022 IOSCO Decentralized Finance Report, Report of the Board of IOSCO
        24 Mar 2022 - View Report
    21. FR10/22 Retail Investor Education in the Context of Sustainable Finance Markets and Products, Report of the Board of IOSCO
        31 Aug 2022 - View Report
    22. FR12/22 Report on Retail Distribution and Digitalisation, Report of the Board of IOSCO
        12 Oct 2022 - View Report
    23. FR15/22 Investor Behaviour and Investor Education in Times of Turmoil: Recommended Framework for Regulators based on Lessons Learned from the COVID-19 Pandemic, Report of the Board of IOSCO
        30 Nov 2022 - View Report
    24. FR05/23 Retail Market Conduct Task Force Final Report, Report of the Board of IOSCO
        30 Mar 2023 - View Report
16. CR/08/2024 Finfluencers, Report of the Board of IOSCO
    Comments on the report should be submitted by 20 January 2025
    19 Nov 2024 - View Report | Related Public Reports (24)
    1. FR01/11 Principles on Point of Sale Disclosure, Report of the Technical Committee of IOSCO
       01 Feb 2011 - View Report
    2. FR01/13 Suitability Requirements With Respect To the Distribution of Complex Financial Products, Report of the Board of IOSCO
       21 Jan 2013 - View Report
    3. FR04/2014 Report on the IOSCO Social Media and Automation of Advice Tools Surveys, Report of the Board of IOSCO
       24 Jul 2014 - View Report
    4. FR09/14 Strategic Framework for Investor Education and Financial Literacy, Report of the Board of IOSCO
       Consultation Document - Comments received on the consultation report posted here on 7 November 2014
       04 Nov 2014 - View Report | View comments received
    5. FR06/2015 Survey on Anti-Fraud Messaging, Report of the Board of IOSCO
       06 May 2015 - View Report
    6. FR21/2015 Sound Practices for Investment Risk Education, Report of the Board of IOSCO
       15 Sep 2015 - Available languages: English, French, Russian, Spanish
    7. FR07/2017 IOSCO Task Force Report on Wholesale Market Conduct, Report of the Board of IOSCO
       13 Jun 2017 - View Report
    8. FR08/2017 Order Routing Incentives, Report of the Board of IOSCO
       19 Jun 2017 - View Report
    9. FR03/2018 Senior Investor Vulnerability, Report of the Board of IOSCO
       08 Mar 2018 - Available languages: English, Portuguese, Japanese
    10. FR10/2018 The Application of Behavioural Insights to Financial Literacy and Investor Education Programs and Initiatives, Report of the IOSCO Committee 8 on Retail Investors (jointly with the OECD International Network on Financial Education)
        30 May 2018 - View Report
    11. FR17/2018 Report on Retail OTC Leveraged Products, Report of the Board of IOSCO
        19 Sep 2018 - View Report
    12. FR05/2019 The Application of Behavioral Insights to Retail Investor Protection, Report of the Board of IOSCO
        02 Apr 2019 - View Report
    13. FR13/2019 Core Competencies Framework on Financial Literacy for Investors, Report of the IOSCO Committee 8 on Retail Investors (jointly with the OECD International Network on Financial Education)
        30 Sep 2019 - View Report
    14. FR02/2020 Issues, Risks and Regulatory Considerations Relating to Crypto-Asset Trading Platforms, Report of the Board of IOSCO
        12 Feb 2020 - View Report
    15. FR12/2020 Investor Education on Crypto-Assets, Report of the Board of IOSCO
        22 Dec 2020 - View Report
    16. FR13/2020 Initial Findings and Observations About the Impact of COVID-19 on Retail Market Conduct, Report of the Board of IOSCO
        22 Dec 2020 - View Report
    17. FR01/2021 Complaint Handling and Redress System for Retail Investors, Report of the Board of IOSCO
        27 Jan 2021 - View Report
    18. CR02/2022 Report on Retail Distribution and Digitalisation, Report of the Board of IOSCO
        Comments on the report should be submitted by 17 March 2022
        17 Jan 2022 - View Report
    19. CR03/2022 Retail Market Conduct Task Force, Report of the Board of IOSCO
        Comments on the report should be submitted by 23 May 2022
        21 Mar 2022 - View Report
    20. OR01/2022 IOSCO Decentralized Finance Report, Report of the Board of IOSCO
        24 Mar 2022 - View Report
    21. FR10/22 Retail Investor Education in the Context of Sustainable Finance Markets and Products, Report of the Board of IOSCO
        31 Aug 2022 - View Report
    22. FR12/22 Report on Retail Distribution and Digitalisation, Report of the Board of IOSCO
        12 Oct 2022 - View Report
    23. FR15/22 Investor Behaviour and Investor Education in Times of Turmoil: Recommended Framework for Regulators based on Lessons Learned from the COVID-19 Pandemic, Report of the Board of IOSCO
        30 Nov 2022 - View Report
    24. FR05/23 Retail Market Conduct Task Force Final Report, Report of the Board of IOSCO
        30 Mar 2023 - View Report
17. FR/08/2024 Voluntary Carbon Markets, Report of the Board of IOSCO
    14 Nov 2024 - View Report | IOSCO/World Bank Joint Note | Related Public Reports (2)
    1. CR06/2022 Voluntary Carbon Markets, Report of the Board of IOSCO
       Consultation Document - Comments received on the consultation report posted here on 27 March 2023
       09 Nov 2022 - View Report | View comments received
    2. CR06/2023 Voluntary Carbon Markets, Report of the Board of IOSCO
       Comments on the report should be submitted by 3 March 2024
       03 Dec 2023 - View Report
18. FR/07/2024 IOSCO Report on Transition Plans, Report of the Board of IOSCO
    13 Nov 2024 - View Report
19. IOSCO Statement on the IAASB’s International Standard on Sustainability Assurance (ISSA) 5000, Report of the Board of IOSCO
    12 Nov 2024 - View Report
20. CR/07/2024 Guidance for Open-ended Funds for Effective Implementation of the Recommendations for Liquidity Risk Management, Report of the Board of IOSCO
    Comments on the report should be submitted by 11 February 2025
    11 Nov 2024 - View Report