International - Geltender Regulierungsrahmen: Gesetze, Bestimmungen und Standards

IOSCO

Standards
Implementation monitoring of PFMI: Fourth update to Level 1 assessment report
IOSCO-PD575-Implementation_PFMI_fourth_update.pdf (17.07.2017)
Recovery of financial market infrastructures
BIS-CPMI-IOSCO-D162-recovery_financial_market.pdf (05.07.2017)
Objectives and Principles of Securities Regulation
IOSCO-PD561-principles_securities_regulation.pdf (31.05.2017)
Methodology for Assessing Implementation of the IOSCO Objectives and Principles of Securities Regulation
IOSCO-PD562-Bericht-Implementation_IOSCO_Objectives_Principles.pdf (31.05.2017)
Standards for the Custody of Collective Investment Schemes’ Assets
IOSCO-PD512-Standard_custody_of_collective_investment_schemes.pdf (11.11.2015)
Principles for financial market infrastructures
IOSCO-PD377-PFMI.pdf (30.04.2012)
Berichte
Order Routing Incentives
IOSCO-PD564-Bericht_order_routing_incentives.pdf (19.06.2017)
Good Practice for Fees and Expenses of Collective Investment Schemes
IOSCO-PD543-report_good_practice.pdf (29.08.2016)
Survey report on audit committee oversight of auditors
IOSCO-PD531-Bericht_audit_committee_oversight_of_auditors.pdf (02.06.2016)
Securities Markets Risk Outlook 2016
IOSCO-PD527-Bericht_securities_markets_risk.pdf (03.03.2016)
Second Review of the Implementation of IOSCO’s Principles for Financial Benchmarks by Administrators of EURIBOR, LIBOR and TIBOR
IOSCO-PD526-Report_second_review_of_implementation_for_financial_benchmarks.pdf (26.02.2016)
Mechanisms for Trading Venues to Effectively Manage Electronic Trading Risks and Plans for Business Continuity
IOSCO-PD522-Bericht_mechanisms_for_trading_value.pdf (29.12.2015)
Sound Practices at Large Intermediaries Relating to the Assessment of Creditworthiness and the Use of External Credit Ratings
IOSCO-PD524-Bericht_sound_practices_at_large_intermediaries.pdf (29.12.2015)
Liquidity Management Tools in Collective Investment Schemes
IOSCO-PD517-Bericht_liquidity_management_tools.pdf (18.12.2015)
Transparency of Firms that Audit Public Companies
IOSCO-PD511-Transparency_of_Firms_that_audit_public_companies.pdf (10.11.2015)
Cross-Border Regulations
IOSCO-PD507-Bericht_Cross_Border_regulation.pdf.pdf (20.09.2015)
Sound Practices for Investment Risk Education
IOSCO-PD505-Bericht_sound_practices_for_Investment_Risk_Education.pdf (16.09.2015)

FSB

Principles
Policy Recommendations to Address Structural Vulnerabilities from Asset Management Activities
FSB-Policy-Recommendations-on-Asset-Management-Structural-Vulnerabilities.pdf (12.01.2017)