International Organization of Securities Commissions

Securities / Derivatives

HK Auditing Brokers’ Protection of Client Assets

By Editors | 31/07/2017

Regulator cites weaknesses in internal account protection controls despite warnings; IOSCO report says HK due diligence to safeguard client rights […]

Capital / Liquidity

Singapore Market Infrastructure Regime Gains CPMI/IOSCO Approval

By Editors | 18/07/2017

Peer review finds MAS meets all but one of 24 principles designed to shore up systemically important market infrastructure including central counterparties.

Market Infrastructure

Only 1 Major APAC CCP Working on Crisis Group – Report

By Samuel Riding | 06/07/2017

Crisis group one of FSB’s main recommendations for CCPs; joint study warns on interconnectedness, concentration.

Securities / Derivatives

GFC Era Shadow Banking No Longer a Threat – FSB

By Editors | 04/07/2017

But report warns of new threats, not least liquidity risk from open-ended funds.

Securities / Derivatives

IOSCO – Sri Lanka Regulator Urgently Needs Independence

By Editors | 03/07/2017

Report also finds outdated legislative, regulatory framework; says several sectors ‘largely unregulated’.

Securities / Derivatives

CPMI-IOSCO Open CCP Stress Testing Consultation

By Editors | 27/06/2017

Paper follows research on financial stability risks, FSB consultation on CCP resolution.

Securities / Derivatives

IOSCO Updates Advice on Wholesale Market Misconduct

By Editors | 15/06/2017

IOSCO (the International Organization of Securities Commissions) issued a report on tackling misconduct in wholesale financial markets, citing infamous incidents […]

Securities / Derivatives

India Sets Out Commodity Options Regime

By Editors | 15/06/2017

SEBI (the Securities and Exchange Board of India) this week issued two circulars clarifying the framework for the country’s upcoming […]

Market Infrastructure

Pakistan Confirms Further Progress on IOSCO Principles

By Editors | 07/06/2017

SECP (the Securities and Exchange Commission of Pakistan) sent a report to IOSCO (the International Organization of Securities Commissions) this […]