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Showing 601 to 620 of 760 result

601. Study On What The Regulations Of The Member's Jurisdictions Provide For The Function Of Compliance Officer, Report of the SRO Consultative Committee of IOSCO
     Dec 2003 - View Report
602. Report On Securities Activity On The Internet III, Report of IOSCO
     Oct 2003 - View Report | Related Public Reports (2)
     1. Report on Securities Activity on the Internet II, Report of IOSCO
        Jun 2001 - View Report
     2. Securities Activity on the Internet, Report of the Technical Committee of IOSCO
        Sep 1998 - View Report
603. Collective Investment Schemes As Shareholders: Responsibilities And Disclosure, Report of the Technical Committee of IOSCO
     Oct 2003 - View Report | Related Public Reports (1)
     1. Collective Investment Schemes as Shareholders: Responsibilities and Disclosure, Report of the Technical Committee of IOSCO
        Jul 2002 - View Report
604. Fees And Commissions Within The CIS And Asset Management Sector: Summary Of Answers To Questionnaire, Report of the Technical Committee of IOSCO
     Oct 2003 - View Report | Related Public Reports (1)
     1. CR06/2015 Report on Elements of International Regulatory Standards on Fees and Expenses of Investment Funds, Report of the Board of IOSCO
        Consultation Document
        25 Jun 2015 - View Report | View comments received
605. Investment Management Risk Assessment: Marketing And Selling Practices, Report of the Technical Committee of IOSCO
     Oct 2003 - View Report
606. Methodology For Assessing Implementation Of The IOSCO Objectives And Principles Of Securities Regulation, Report of IOSCO
     Oct 2003 - Available languages: English, French, Spanish | Related Public Reports (8)
     1. 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
     2. IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
        Updated June 2010
        10 Jun 2010 - View Report
     3. 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
     4. 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
     5. 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
     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
607. 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 | Related Public Reports (8)
     1. 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
     2. IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
        Updated June 2010
        10 Jun 2010 - View Report
     3. 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
     4. 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
     5. 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
     6. Methodology For Assessing Implementation Of The IOSCO Objectives And Principles Of Securities Regulation, Report of IOSCO
        Oct 2003 - Available languages: English, French, Spanish
     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
608. Report on the Activities of Credit Rating Agencies, Report of the Technical Committee of IOSCO
     Sep 2003 - View Report
609. Report on Analyst Conflict of Interest, Report of the Technical Committee of IOSCO
     Sep 2003 - View Report | Related Public Reports (3)
     1. FR08/2020 Conflicts of interest and associated conduct risks during the debt capital raising process, Report of the Board of IOSCO
        21 Sep 2020 - View Report
     2. FR16/2018 Conflicts of interest and associated conduct risks during the equity capital raising process, Report of the Board of IOSCO
        18 Sep 2018 - View Report
     3. CR02/2018 Conflicts of interest and associated conduct risks during the equity capital raising process, Report of the Board of IOSCO
        Consultation Document
        21 Feb 2018 - View Report
610. IOSCO Statement Of Principles Regarding The Activities Of Credit Rating Agencies, Report of the Technical Committee of IOSCO
     Sep 2003 - View Report
611. IOSCO Statement Of Principles For Addressing Sell-Side Securities Analyst Conflicts Of Interest, Report of the Technical Committee of IOSCO
     Sep 2003 - View Report | Related Public Reports (4)
     1. FR08/2020 Conflicts of interest and associated conduct risks during the debt capital raising process, Report of the Board of IOSCO
        21 Sep 2020 - View Report
     2. 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
     3. FR16/2018 Conflicts of interest and associated conduct risks during the equity capital raising process, Report of the Board of IOSCO
        18 Sep 2018 - View Report
     4. CR02/2018 Conflicts of interest and associated conduct risks during the equity capital raising process, Report of the Board of IOSCO
        Consultation Document
        21 Feb 2018 - View Report
612. Trends in Risk Integration and Aggregation, Report of the Joint Forum (IOSCO, Basel Committee, IAIS)
     Aug 2003 - View Report
613. Operational Risk Transfer Across Financial Sectors, Report of the Joint Forum (IOSCO, Basel Committee, IAIS)
     Aug 2003 - View Report | Related Public Reports (1)
     1. FR03/21 Thematic Review on Business Continuity Plans with respect to Trading Venues and Intermediaries, Report of the Board of IOSCO
        06 May 2021 - View Report
614. Report on Transparency of Short Selling, Report of the Technical Committee of IOSCO
     Jun 2003 - View Report
615. Initiatives by the BCBS, IAIS and IOSCO to Combat Money Laundering and the Financing of Terrorism, Report of the Joint Forum (IOSCO, Basel Committee, IAIS)
     Jun 2003 - View Report | Related Public Reports (1)
     1. Initiatives by the BCBS, IAIS and IOSCO to Combat Money Laundering and the Financing of Terrorism, Report of the Joint Forum (IOSCO, Basel Committee, IAIS)
        Update
        Jan 2005 - View Report
616. Insider Trading - How Jurisdictions Regulate It, Report of the Emerging Markets Committee of IOSCO
     May 2003 - View Report
617. Performance Presentation Standards For Collective Investment Schemes: Best Practice Standards, Report of the Technical Committee of IOSCO
     Consultation Document
     Feb 2003 - View Report | Related Public Reports (3)
     1. Performance Presentation Standards For Collective Investment Schemes: Best Practice Standards, Report of the Technical Committee of IOSCO
        May 2004 - View Report
     2. Performance Presentation Standards for Collective Investment Schemes, Report of the Technical Committee of IOSCO
        Jul 2002 - View Report
     3. Performance Presentation Standards for Collective Investment Schemes, Report of the Emerging Markets Committee of IOSCO
        Dec 2000 - View Report
618. Indexation: Securities Indices and Index Derivatives, Report of the Technical Committee of IOSCO
     Feb 2003 - View Report
619. Regulatory and Investor Protection Issues Arising from the Participation by Retail Investors in (Funds-of) Hedge Funds, Report of the Technical Committee of IOSCO
     Feb 2003 - View Report
620. General Principles Regarding Disclosure of Management's Discussion and Analysis of Financial Condition and Results of Operations, Report of the Technical Committee of IOSCO
     Feb 2003 - View Report