28th Annual Conference of IOSCO - Seoul, Korea, October 2003

Public Documents

Tome 1

Opening Ceremony, 16 October

1. Opening Remarks
   by Mr. Jungjae Lee, Chairman of the IOSCO Presidents' Committee, Chairman of the Financial Supervisory Commission and Governor of the Financial Supervisory Service of Korea
   16 October 2003 - 3 pages
2. Keynote Speech
   by Mr. Jin-Pyo Kim, Deputy Prime Minister and Minister of Finance and Economy of Korea
   16 October 2003 - 7 pages
3. Speech
   by Professor Fernando Teixeira dos Santos, Chairman of the IOSCO Executive Committee and Chairman of the Comissão do Mercado de Valores Mobiliários of Portugal
   16 October 2003 - 7 pages
4. Speech
   by Mr. David Knott, Chairman of the IOSCO Technical Committee and Chairman of the Australian Securities and Investments Commission
   16 October 2003 - 4 pages
5. Speech
   by Dr. Dogan Cansizlar, Chairman of the IOSCO Emerging Markets Committee and Chairman of the Capital Markets Board of Turkey
   16 October 2003 - 7 pages
6. Remarks
   by Mr. Philippe Richard, Secretary General of the International Organization of Securities Commission (IOSCO)
   16 October 2003 - 3 pages

Plenary 1 – Increasing Disclosure – A Key to Improving Investor Confidence, 16 October

7. CESR: its role and activities, Speech
   by Mr. Kaarlo Jännäri, Vice Chairman of the European Securities Regulators (CESR) and Director General of the Financial Supervision Authority of Finland
   16 October 2003 - 7 pages
8. Korean Experience of Regulation Fair Disclosure, Speech
   by Dr. Do-Sung Choi, Non-standing Commissioner of the Securities and Futures Commission of Korea
   16 October 2003 - 6 pages
9. Remarks Presentation
   by Mr. Claudio Salini, Head of Market and Economic Research Division, Commissione Nazionale per le Società e la Borsa of Italy
   16 October 2003 - 11 pages

Plenary 2 – Regulating Credit Rating Agencies, 17 October

10. Speaking notes
    by Mr. David Brown, Chair of the Ontario Securities Commission
    17 October 2003 - 3 pages
11. Presentation
    by Mr. Raymond McDaniel, President of Moody’s Investors Service, United States of America
    17 October 2003 - 13 pages
12. Remarks
    by Ms. Vickie A. Tillman, Vice President of Standard & Poor’s, United States of America
    17 October 2003 - 5 pages
13. Presentation
    by Mr. Naohiko Matsuo, Director for International Financial Markets, Financial Services Agency of Japan
    17 October 2003 - 8 pages
14. Presentation
    by Mr. Kwang-Sun Chung, Professor of Business Administration, Chung-Ang University, Korea
    17 October 2003 - 7 pages

Plenary 3 – New Stringent Avenues of Corporate Governance, 17 October

15. Presentation
    by Mr. G. N. Bajpai, Chairman of the Securities and Exchange Board of India
    17 October 2003 - 23 pages
16. Presentation
    by Mr. Andrew Sheng, Chairman of the Securities and Futures Commission of Hong Kong
    17 October 2003 - 14 pages
17. Strengthening Market Foundations through Corporate Governance Reform, Speech
    by Mr. William Witherell, Director of Directorate for Financial, Fiscal and Enterprise Affairs, Organization for Economic Co-operation and Development (OECD)
    17 October 2003 - 14 pages (2 annex pages)
18. Transformation of Corporate Governance: The Korean Experience, Presentation
    by Mr. Kon Sik Kim, Professor of Law, Seoul National University
    17 October 2003 - 24 pages

Plenary 4 – Combating Financial Crime Globally, 17 October

19. Introductory Comments
    by Mr. Stavros Thomadakis, Chairman of the IOSCO European regional Committee and Chairman of the Capital Market Commission of Greece
    17 October 2003 - 1 page
20. Speech
    by Mr. Michel Prada, Inspector, Finances General Inspectorate, France
    17 October 2003 - 7 pages
21. Anti-Money Laundering and Investment Banking, Presentation
    by Mr. Keith Clark, Managing Director and International General Counsel of Morgan Stanley, United Kingdom
    17 October 2003 - 9 pages
22. Speech
    by Mr. Ethiopis Tafara, Director of the Office of International Affairs, Securities and Exchange Commission of the United States of America
    17 October 2003 - 6 pages
23. Speech
    by Ms. Karen K. Wuertz, Senior Vice President, Planning and Development, National Futures Association of the United States of America
    17 October 2003 - 6 pages

Tome 2

IOSCO Public Documents

24. IOSCO Objectives and Principles of Securities Regulation
    Report from the International Organization of Securities Commissions (Up-dated with references to work done by IOSCO from September 1998 to May 2003)
    October 2003, Seoul - 68 pages
25. Methodology for Assessing Implementation of the IOSCO Objectives and Principles of Securities Regulation
    Report from the International Organization of Securities Commissions
    October 2003, Seoul - 166 pages
26. Investment Management Risk Assessment: Marketing and Selling Practices
    Report from the Technical Committee of the International Organization of Securities Commissions
    October 2003, Seoul - 9 pages
27. Fees and Commissions within the CIS and Asset Management Sector: Summary of Answers to Questionnaire
    Report from the Technical Committee of the International Organization of Securities Commissions
    October 2003, Seoul - 21 pages
28. Collective Investment Schemes as Shareholders: Responsibilities and Disclosure
    Report from the Technical Committee of the International Organization of Securities Commissions
    October 2003, Seoul - 16 pages
29. Report on Securities Activity on the Internet III
    Report from the Technical Committee of the International Organization of Securities Commissions
    October 2003, Seoul - 49 pages

Closing Session of the Conference

30. Final Communiqué of the XXVIIIth Annual Conference of the International Organization of Securities Commissions (IOSCO)
    17 October 2003, Seoul - 12 pages