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Showing 121 to 140 of 760 result

121. 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 | Related Public Reports (5)
     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
     4. 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
     5. IOSCO Statement Of Principles For Addressing Sell-Side Securities Analyst Conflicts Of Interest, Report of the Technical Committee of IOSCO
        Sep 2003 - View Report
122. FR18/2019 Recommendations for a Framework Assessing Leverage in Investment Funds, Report of the Board of IOSCO
     13 Dec 2019 - View Report | Related Public Reports (4)
     1. FR01/23 IOSCO Investment Funds Statistics Report, Report of the Board of IOSCO
        27 Jan 2023 - View Report
     2. FR01/2022 IOSCO Investment Funds Statistics Report, Report of the Board of IOSCO
        04 Jan 2022 - View Report
     3. FR05/2020 Report on the Fifth IOSCO Hedge Funds Survey, Report of the Board of IOSCO
        15 Apr 2020 - View Report
     4. CR08/2018 IOSCO Report: Leverage, Report of the Board of IOSCO
        Consultation Document
        14 Nov 2018 - View Report | View comments received
123. FR17/2019 Responsibility E: A compilation of authorities’ experience with cooperation, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
     10 Dec 2019 - View Report
124. Statement on IOSCO study of emerging global stablecoin proposals, Report of the Board of IOSCO
     04 Nov 2019 - View Report
125. FR16/2019 Governance Arrangements for critical OTC derivatives data elements (other than UTI and UPI), Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
     09 Oct 2019 - View Report | View comments received | Related Public Reports (4)
     1. CR07/2018 Governance arrangements for critical OTC derivatives data elements (other than UTI and UPI), Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
        Consultation Document
        16 Aug 2018 - View Report | Response Form
     2. FR06/2018 Harmonisation of critical OTC derivatives data elements (other than UTI and UPI), Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
        09 Apr 2018 - View Report
     3. FR17/2017 Technical Guidance - Harmonisation of the Unique Product Identifier, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
        28 Sep 2017 - View Report
     4. FR04/2017 Technical Guidance on Harmonisation of the Unique Transaction Identifier, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
        28 Feb 2017 - View Report
126. FR15/2019 Update to the IOSCO Peer Review of Implementation of Incentive Alignment Recommendations for Securitisation, Report of the Board of IOSCO
     02 Oct 2019 - View Report | Related Public Reports (7)
     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. FR20/2017 Update to the IOSCO Peer Review of Implementation of Incentive Alignment Recommendations for Securitisation, Report of the Board of IOSCO
        03 Nov 2017 - View Report
     3. FR19/2017 Update to the IOSCO Peer Review of Regulation of Money Market Funds, Report of the Board of IOSCO
        03 Nov 2017 - View Report
     4. FR20/2015 Peer Review of Implementation of Incentive Alignment Recommendations for Securitisation: Final Report, Report of the Board of IOSCO
        03 Sep 2015 - View Report
     5. FR19/2015 Peer Review of Regulation of Money Market Funds: Final Report, Report of the Board of IOSCO
        02 Sep 2015 - View Report
     6. FR09/12 Global Developments in Securitisation Regulation, Report of the Board of IOSCO
        16 Nov 2012 - View Report | Download files in zip format
     7. FR07/12 Policy Recommendations for Money Market Funds, Report of the Board of IOSCO
        09 Oct 2012 - View Report | View comments received
127. FR14/2019 Update to the IOSCO Peer Review of Regulation of Money Market Funds, Report of the Board of IOSCO
     02 Oct 2019 - View Report | Related Public Reports (6)
     1. FR20/2017 Update to the IOSCO Peer Review of Implementation of Incentive Alignment Recommendations for Securitisation, Report of the Board of IOSCO
        03 Nov 2017 - View Report
     2. FR19/2017 Update to the IOSCO Peer Review of Regulation of Money Market Funds, Report of the Board of IOSCO
        03 Nov 2017 - View Report
     3. FR20/2015 Peer Review of Implementation of Incentive Alignment Recommendations for Securitisation: Final Report, Report of the Board of IOSCO
        03 Sep 2015 - View Report
     4. FR19/2015 Peer Review of Regulation of Money Market Funds: Final Report, Report of the Board of IOSCO
        02 Sep 2015 - View Report
     5. FR09/12 Global Developments in Securitisation Regulation, Report of the Board of IOSCO
        16 Nov 2012 - View Report | Download files in zip format
     6. FR07/12 Policy Recommendations for Money Market Funds, Report of the Board of IOSCO
        09 Oct 2012 - View Report | View comments received
128. 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 | Related Public Reports (4)
     1. FR05/23 Retail Market Conduct Task Force Final Report, Report of the Board of IOSCO
        30 Mar 2023 - View Report
     2. 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
     3. 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
     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
129. FR12/2019 Thematic Review on Suitability Requirements with respect to the Distribution of Complex Financial Products, Report of the Board of IOSCO
     26 Sep 2019 - View Report | Related Public Reports (2)
     1. 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
     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
130. CR04/2019 Clock Synchronisation, Report of the Board of IOSCO
     Comments on the report should be submitted by 13 November 2019
     11 Sep 2019 - View Report | Related Public Reports (1)
     1. FR01/2020 Clock Synchronisation, Report of the Board of IOSCO
        16 Jan 2020 - View Report
131. Statement on Communication and Outreach to Inform Relevant Stakeholders Regarding Benchmarks Transition, Report of the Board of IOSCO
     31 Jul 2019 - View Report
132. FR11/2019 Margin requirements for non-centrally cleared derivatives, Report of the Board of IOSCO
     23 Jul 2019 - View Report | Related Public Reports (1)
     1. FR03/2020 Margin requirements for non-centrally cleared derivatives, Report of the Basel Committee on Banking Supervision and the Board of IOSCO
        03 Apr 2020 - View Report
133. FR10/2019 Liquidity in Corporate Bond Markets Under Stressed Conditions, Report of the Board of IOSCO
     21 Jun 2019 - View Report
134. FR09/2019 Cyber Task Force, Report of the Board of IOSCO
     18 Jun 2019 - View Report | Related Public Reports (2)
     1. FR14/22 Implementation monitoring of the PFMI: Level 3 assessment on Financial Market Infrastructures’ Cyber Resilience, Committee on Payments and Market Infrastructures and the Board of IOSCO
        29 Nov 2022 - View Report
     2. FR05/2021 Implementation monitoring of PFMI: Level 3 assessment of FMIs’ business continuity planning, Committee on Payments and Market Infrastructures and the Board of IOSCO
        21 Jul 2021 - View Report
135. CR03/2019 A discussion paper on central counterparty default management auctions, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
     Comments on the report should be submitted by 9 August 2019
     05 Jun 2019 - View Report | Cover note | View comments received | Related Public Reports (2)
     1. Central counterparty default management auctions – Issues for consideration, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
        24 Jun 2020 - View Report | Cover note
     2. FR11/2017 Recovery of financial market infrastructures and Cover Note, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
        05 Jul 2017 - View Report
136. FR08/2019 Sustainable finance in emerging markets and the role of securities regulators, Report of the IOSCO Growth and Emerging Market Committee
     05 Jun 2019 - View Report | Related Public Reports (4)
     1. Call for Action (IOSCO Good Sustainable Finance Practices for Financial Markets Voluntary Standard Setting Bodies and Industry Associations), Report of the Sustainable Finance Task Force
        07 Nov 2022 - View Report
     2. 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
     3. FR04/21 Report on Sustainability-related Issuer Disclosures, Report of the Board of IOSCO
        28 Jun 2021 - View Report
     4. CR01/2019 Sustainable finance in emerging markets and the role of securities regulators, Report of the IOSCO Growth and Emerging Market Committee
        Consultation Document
        01 Feb 2019 - View Report
137. FR07/2019 Market Fragmentation & Cross-border Regulation, Report of the Board of IOSCO
     04 Jun 2019 - View Report | Related Public Reports (2)
     1. FR06/2020 Good Practices on Processes for Deference, Report of the Board of IOSCO
        26 Jun 2020 - View Report
     2. FR23/2015 IOSCO Task Force on Cross-Border Regulation, Report of the Board of IOSCO
        17 Sep 2015 - View Report
138. FR06/2019 Implementation monitoring of PFMI: Assessment report for the United States – Payment systems, central securities depositories and securities settlement systems, Committee on Payments and Market Infrastructures and the Board of IOSCO
     31 May 2019 - View Report | Related Public Reports (1)
     1. FR/2015 Implementation monitoring of PFMIs: Level 2 assessment report for central counterparties and trade repositories – United States, Committee on Payments and Market Infrastructures and the Board of IOSCO
        26 Feb 2015 - View Report
139. CR02/2019 Issues, Risks and Regulatory Considerations Relating to Crypto-Asset Trading Platforms, Report of the Board of IOSCO
     Consultation Document - Comments received on the consultation report posted here on 15 August 2019
     28 May 2019 - View Report | View comments received | Related Public Reports (2)
     1. 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
     2. FR02/2020 Issues, Risks and Regulatory Considerations Relating to Crypto-Asset Trading Platforms, Report of the Board of IOSCO
        12 Feb 2020 - View Report
140. FR05/2019 The Application of Behavioral Insights to Retail Investor Protection, Report of the Board of IOSCO
     02 Apr 2019 - View Report | Related Public Reports (4)
     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. 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
     4. 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