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International - Geltender Regulierungsrahmen: Gesetze, Bestimmungen und Standards

IOSCO

Standards

Statement on Matters to Consider in the Use of Financial Benchmarks
(05.01.2018)

Implementation monitoring of PFMI: Fourth update to Level 1 assessment report
(17.07.2017)

Recovery of financial market infrastructures
(05.07.2017)

Objectives and Principles of Securities Regulation
(31.05.2017)

Methodology for Assessing Implementation of the IOSCO Objectives and Principles of Securities Regulation
(31.05.2017)

Standards for the Custody of Collective Investment Schemes’ Assets
(11.11.2015)

Principles for financial market infrastructures
(30.04.2012)

Guidelines

Technical Guidance on the Harmonisation of critical OTC derivatives data elements (other than UTI and UPI)
(09.04.2018)

Berichte

Regulatory Reporting and Public Transparency in the Secondary Corporate Bond Markets
(05.04.2018)

Recommendations for Liquidity Risk Management for Collective Investment Schemes (CIS)
(01.02.2018)

Open-ended Fund Liquidity and Risk Management – Good Practices and Issues for Consideration
IOSCO
(01.02.2018)

IOSCO Report on Good Practices for the Termination of Investment Funds
(23.11.2017)

Other CRA products and their use by market participants
(11.10.2017)

Thematic Review of the Adoption of the Principles set forth in IOSCO’s Report: Recommendations Regarding the Protection of Client Assets
(14.08.2017)

Order Routing Incentives
(19.06.2017)

Good Practice for Fees and Expenses of Collective Investment Schemes
(29.08.2016)

Survey report on audit committee oversight of auditors
(02.06.2016)

Securities Markets Risk Outlook 2016
(03.03.2016)

Second Review of the Implementation of IOSCO’s Principles for Financial Benchmarks by Administrators of EURIBOR, LIBOR and TIBOR
(26.02.2016)

Mechanisms for Trading Venues to Effectively Manage Electronic Trading Risks and Plans for Business Continuity
(29.12.2015)

Sound Practices at Large Intermediaries Relating to the Assessment of Creditworthiness and the Use of External Credit Ratings
(29.12.2015)

Liquidity Management Tools in Collective Investment Schemes
(18.12.2015)

Transparency of Firms that Audit Public Companies
(10.11.2015)

Cross-Border Regulations
(20.09.2015)

Sound Practices for Investment Risk Education
(16.09.2015)