Key Regulatory Standards

The IOSCO Objectives and Principles of Securities Regulation sets out 38 Principles of securities regulation, which are based upon three Objectives of securities regulation. These are:

  • protecting investors;
  • ensuring that markets are fair, efficient and transparent;
  • reducing systemic risk.

The Methodology for Assessing Implementation of the IOSCO Objectives and Principles of Securities Regulation is designed to provide IOSCO's interpretation of the International Organization of Securities Commission's Objectives and Principles of Securities Regulation ("Principles") and give guidance on the conduct of a self-assessment or third-party assessment of the level of Principles implementation. The Methodology for Assessing Implementation of the IOSCO Objectives and Principles of Securities Regulation is now available in Spanish and Portuguese. An Online Self-Assessment Questionnaire has been developed to assist IOSCO members in undertaking self-assessments based on the Methodology for Assessing Implementation of the IOSCO Objectives and Principles of Securities Regulation.