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Showing 401 to 420 of 760 result

401. FR09/11 Regulatory Issues Raised by the Impact of Technological Changes on Market Integrity and Efficiency, Report of the Technical Committee of IOSCO
     20 Oct 2011 - View Report | View comments received | Related Public Reports (7)
     1. CR02/2020 The use of artificial intelligence and machine learning by market intermediaries and asset managers, Report of the Board of IOSCO
        Comments on the report should be submitted by 26 October 2020
        25 Jun 2020 - View Report
     2. FR13/13 Regulatory Issues Raised by Changes in Market Structure, Report of the Board of IOSCO
        13 Dec 2013 - View Report | View comments received
     3. 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
     4. CR03/13 Regulatory Issues Raised by Changes in Market Structure, Report of the Board of IOSCO
        Consultation Document
        21 Mar 2013 - View Report
     5. CR12/12 Technological Challenges to Effective Market Surveillance Issues and Regulatory Tools, Report of the Board of IOSCO
        Consultation Document
        22 Aug 2012 - View Report
     6. CR02/11 Regulatory Issues Raised by the Impact of Technological Changes on Market Integrity and Efficiency, Report of the Technical Committee of IOSCO
        Consultation Document
        06 Jul 2011 - View Report
     7. Transparency and Market Fragmentation, Report of the Technical Committee of IOSCO
        Nov 2001 - View Report
402. FR08/11 Methodology for Assessing Implementation of the IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
     Version Revised August 2013
     18 Oct 2011 - Available languages: English, Spanish, Portuguese | Download files in zip format | Related Public Reports (8)
     1. IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
        Updated June 2010
        10 Jun 2010 - View Report
     2. Analysis of The Application of IOSCO's Objectives And Principles of Securities Regulation For Islamic Securities Products, Report of the Executive Committee of IOSCO
        Sep 2008 - View Report
     3. Methodology For Assessing Implementation Of The IOSCO Objectives And Principles Of Securities Regulation, Report of IOSCO
        Updated with references to work done by IOSCO from September 1998 to February 2008
        Apr 2008 - View Report
     4. IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
        Updated with references to work done by IOSCO from September 1998 to February 2008
        Apr 2008 - View Report
     5. Methodology For Assessing Implementation Of The IOSCO Objectives And Principles Of Securities Regulation, Report of IOSCO
        Oct 2003 - Available languages: English, French, Spanish
     6. IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
        Updated with references to work done by IOSCO from September 1998 to May 2003
        Oct 2003 - View Report
     7. IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
        Updated with references to work done by IOSCO since September 1998
        Feb 2002 - View Report
     8. Objectives and Principles of Securities Regulation, Report of IOSCO
        Sep 1998 - Available languages: English, French, Spanish
403. FR07/11 Principles for the Regulation and Supervision of Commodity Derivatives Markets, Report of the Technical Committee of IOSCO
     15 Sep 2011 - View Report | Related Public Reports (3)
     1. FR19/2018 Update to Survey on the Principles for the Regulation and Supervision of Commodity Derivatives Markets, Report of the Board of IOSCO
        19 Nov 2018 - View Report and cover note | Cover note | Report
     2. FR06/2014 Update to Survey on the Principles for the Regulation and Supervision of Commodity Derivatives Markets, Report of the Board of IOSCO
        09 Sep 2014 - View Report
     3. FR08/12 Survey on the Principles for the Regulation and Supervision of Commodity Derivatives Markets, Report of the Board of IOSCO
        29 Oct 2012 - View Report
404. IOSCO-CPSS Public Comments Received to Consultation on Financial Market Infrastructures Principles, Report of the Committee on Payment and Settlement Systems and the IOSCO Technical Committee
     09 Sep 2011 - View Report | View comments received | Related Public Reports (3)
     1. Principles for financial market infrastructures: Disclosure framework and Assessment methodology, Report of the Committee on Payment and Settlement Systems and the Board of IOSCO
        14 Dec 2012 - View Report
     2. Principles for Financial Market Infrastructures and Consultation Papers on Assessment Methodology and Disclosure Framework, Report of the Committee on Payment and Settlement Systems and the IOSCO Technical Committee
        Consultation Document - Comments received on the consultation papers posted here on 28 September 2012
        16 Apr 2012 - View Reports and Comment Letters | Zip format | PFMI Report | View comments received
     3. Principles for Financial Market Infrastructures, Report of the Committee on Payment and Settlement Systems and the IOSCO Technical Committee
        Consultation Document
        10 Mar 2011 - Available languages: English, Spanish
405. Report On OTC Derivatives Data Reporting and Aggregation Requirements, Report of the Committee on Payment and Settlement Systems and the IOSCO Technical Committee
     Consultation Document
     24 Aug 2011 - View Report | Related Public Reports (2)
     1. FR01/12 Report On OTC Derivatives Data Reporting and Aggregation Requirements, Report of the Committee on Payment and Settlement Systems and the IOSCO Technical Committee
        17 Jan 2012 - View Report
     2. OR05/11 Public Comments Received by the Technical Committee of the International Organization of Securities Commissions and the Committee on Payment and Settlement Systems to the Consultation Report - OTC Derivatives Data Reporting and Aggregation Requirements, Report of the Committee on Payment and Settlement Systems and the IOSCO Technical Committee
        25 Oct 2011 - View Report | View comments received
406. IOSCO Impact Assessment Guidelines, Report of the Executive Committee of IOSCO
     15 Jul 2011 - View Report
407. Report On Asset Securitisation Incentives, Report of the Joint Forum (IOSCO, Basel Committee, IAIS)
     13 Jul 2011 - View Report
408. CR02/11 Regulatory Issues Raised by the Impact of Technological Changes on Market Integrity and Efficiency, Report of the Technical Committee of IOSCO
     Consultation Document
     06 Jul 2011 - View Report | Related Public Reports (7)
     1. CR02/2020 The use of artificial intelligence and machine learning by market intermediaries and asset managers, Report of the Board of IOSCO
        Comments on the report should be submitted by 26 October 2020
        25 Jun 2020 - View Report
     2. FR13/13 Regulatory Issues Raised by Changes in Market Structure, Report of the Board of IOSCO
        13 Dec 2013 - View Report | View comments received
     3. 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
     4. CR03/13 Regulatory Issues Raised by Changes in Market Structure, Report of the Board of IOSCO
        Consultation Document
        21 Mar 2013 - View Report
     5. CR12/12 Technological Challenges to Effective Market Surveillance Issues and Regulatory Tools, Report of the Board of IOSCO
        Consultation Document
        22 Aug 2012 - View Report
     6. FR09/11 Regulatory Issues Raised by the Impact of Technological Changes on Market Integrity and Efficiency, Report of the Technical Committee of IOSCO
        20 Oct 2011 - View Report | View comments received
     7. Transparency and Market Fragmentation, Report of the Technical Committee of IOSCO
        Nov 2001 - View Report
409. FR06/11 Principles for Dark Liquidity, Report of the Technical Committee of IOSCO
     19 May 2011 - View Report | Download files in zip format | Related Public Reports (1)
     1. CR05/10 Issues Raised by Dark Liquidity, Report of the Technical Committee of IOSCO
        Consultation Document
        27 Oct 2010 - View Report
410. OR02/11 Task Force on Commodity Futures Markets - Report to the Financial Stability Board, Report of the Technical Committee of IOSCO
     15 Apr 2011 - 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
411. FR05/11 Survey of Regimes for the Protection, Distribution and/or Transfer of Client Assets, Report of the Technical Committee of IOSCO
     11 Mar 2011 - View Report | Download files in zip format | Related Public Reports (1)
     1. Client Asset Protection, Report of the Technical Committee of IOSCO
        Aug 1996 - View Report
412. Principles for Financial Market Infrastructures, Report of the Committee on Payment and Settlement Systems and the IOSCO Technical Committee
     Consultation Document
     10 Mar 2011 - Available languages: English, Spanish | Related Public Reports (3)
     1. Principles for financial market infrastructures: Disclosure framework and Assessment methodology, Report of the Committee on Payment and Settlement Systems and the Board of IOSCO
        14 Dec 2012 - View Report
     2. Principles for Financial Market Infrastructures and Consultation Papers on Assessment Methodology and Disclosure Framework, Report of the Committee on Payment and Settlement Systems and the IOSCO Technical Committee
        Consultation Document - Comments received on the consultation papers posted here on 28 September 2012
        16 Apr 2012 - View Reports and Comment Letters | Zip format | PFMI Report | View comments received
     3. IOSCO-CPSS Public Comments Received to Consultation on Financial Market Infrastructures Principles, Report of the Committee on Payment and Settlement Systems and the IOSCO Technical Committee
        09 Sep 2011 - View Report | View comments received
413. CR01/11 Principles on Suspensions of Redemptions in Collective Investment Schemes, Report of the Technical Committee of IOSCO
     Consultation Document
     08 Mar 2011 - View Report | Related Public Reports (1)
     1. FR02/12 Principles on Suspensions of Redemptions in Collective Investment Schemes, Report of the Technical Committee of IOSCO
        19 Jan 2012 - View Report
414. FR04/11 Task Force on Unregulated Financial Markets and Products, Report of the Technical Committee of IOSCO
     04 Mar 2011 - View Report | Related Public Reports (3)
     1. FR09/12 Global Developments in Securitisation Regulation, Report of the Board of IOSCO
        16 Nov 2012 - View Report | Download files in zip format
     2. Unregulated Financial Markets and Products, Report of the Technical Committee of IOSCO
        04 Sep 2009 - View Report
     3. Unregulated Financial Markets and Products, Report of the Technical Committee of IOSCO
        Consultation Document
        May 2009 - View Report
415. OR01/11 Mitigating Systemic Risk - A Role for Securities Regulators, Report of the Technical Committee of IOSCO
     24 Feb 2011 - View Report | Related Public Reports (3)
     1. SWP1: Systemic Risk Identification in Securities Markets, Report of the IOSCO Research Function
        15 Jul 2012 - View Report
     2. FR02/14 Risk Identification and Assessment Methodologies for Securities Regulators, Report of the Board of IOSCO
        26 Jun 2014 - View Report
     3. FR11/13 Thematic Review of the Implementation of Principles 6 and 7 of the IOSCO Objectives and Principles of Securities Regulation, Report of the Board of IOSCO
        30 Sep 2013 - View Report
416. FR04/11 Regulatory Implementation of the Statement of Principles Regarding the Activities of Credit Rating Agencies, Report of the Technical Committee of IOSCO
     24 Feb 2011 - View Report | Related Public Reports (1)
     1. CR Regulatory Implementation of the Statement of Principles Regarding the Activities of Credit Rating Agencies, Report of the Technical Committee of IOSCO
        Consultation Document
        07 May 2010 - View Report
417. FR03/11 Report on Trading of OTC Derivatives, Report of the Technical Committee of IOSCO
     18 Feb 2011 - View Report | Related Public Reports (1)
     1. OR02/12 Follow-On Analysis to the Report on Trading of OTC Derivatives, Report of the Technical Committee of IOSCO
        25 Jan 2012 - View Report
418. FR02/11 Intermediary Internal Controls associated with Price Verification of Structured Finance Products and Regulatory Approaches to Liquidity Risk Management, Report of the Technical Committee of IOSCO
     11 Feb 2011 - View Report | Related Public Reports (1)
     1. CR04/10 Intermediary Internal Controls Associated with Price Verification of Structured Finance Products and Regulatory Approaches to Liquidity Risk Management, Report of the Technical Committee of IOSCO
        Consultation Document
        02 Aug 2010 - View Report
419. FR01/11 Principles on Point of Sale Disclosure, Report of the Technical Committee of IOSCO
     01 Feb 2011 - View Report | Related Public Reports (3)
     1. FR05/23 Retail Market Conduct Task Force Final Report, Report of the Board of IOSCO
        30 Mar 2023 - View Report
     2. 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
     3. Principles on Point of Sale Disclosure, Report of the Technical Committee of IOSCO
        Consultation Document
        16 Nov 2009 - View Report
420. FR12/10 Guidelines for the Regulation of Conflicts of Interest Facing Market Intermediaries, Report of the Emerging Markets Committee of IOSCO
     25 Nov 2010 - View Report | Related Public Reports (1)
     1. CR05/2019 Conflicts of interest and associated conduct risks during the debt capital raising process, Report of the Board of IOSCO
        Comments on the report should be submitted by 16 February 2020
        16 Dec 2019 - View Report