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AC Publications

• FR03/23 IOSCO Standards Implementation Monitoring (ISIM) for Principles (1-5) Relating to the Regulator, Report of the Board of IOSCO
  15 Feb 2023 - View Report | Related Public Reports (2)
  1. FR04/2019 IOSCO Standards Implementation Monitoring (ISIM) on Secondary and Other Market Principles, Report of the Board of IOSCO
     12 Feb 2019 - View Report
  2. Methodology for Assessing Implementation of the IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
     31 May 2017 - View Report
• FR13/22 Thematic Review on Liquidity Risk Management Recommendations, Report of the Board of IOSCO
  16 Nov 2022 - View Report | Related Public Reports (1)
  1. FR01/2018 Recommendations for Liquidity Risk Management for Collective Investment Schemes, Report of the Board of IOSCO
     01 Feb 2018 - View Report
• FR03/21 Thematic Review on Business Continuity Plans with respect to Trading Venues and Intermediaries, Report of the Board of IOSCO
  06 May 2021 - View Report | Related Public Reports (7)
  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
  3. FR32/2015 Market Intermediary Business Continuity and Recovery Planning, Report of the Board of IOSCO
     22 Dec 2015 - View Report | View comments received
  4. FR31/2015 Mechanisms for Trading Venues to Effectively Manage Electronic Trading Risks and Plans for Business Continuity, Report of the Board of IOSCO
     22 Dec 2015 - View Report | View comments received
  5. High-level Principles for Business Continuity, Report of the Joint Forum (IOSCO, Basel Committee, IAIS)
     Aug 2006 - View Report
  6. High-Level Principles for Business Continuity, Report of the Joint Forum (IOSCO, Basel Committee, IAIS)
     Dec 2005 - View Report
  7. Operational Risk Transfer Across Financial Sectors, Report of the Joint Forum (IOSCO, Basel Committee, IAIS)
     Aug 2003 - View Report
• FR11/20 Thematic Review on consistency in implementation of Money Market Funds reforms, Report of the Board of IOSCO
  20 Nov 2020 - View Report
• 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
• FR04/2019 IOSCO Standards Implementation Monitoring (ISIM) on Secondary and Other Market Principles, Report of the Board of IOSCO
  12 Feb 2019 - View Report | Related Public Reports (3)
  1. FR03/23 IOSCO Standards Implementation Monitoring (ISIM) for Principles (1-5) Relating to the Regulator, Report of the Board of IOSCO
     15 Feb 2023 - View Report
  2. Methodology for Assessing Implementation of the IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
     31 May 2017 - View Report
  3. IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
     31 May 2017 - View Report
• FR04/2018 Country Review: Islamic Republic of Pakistan, IOSCO Objectives and Principles of Securities Regulation, Follow-up Report on Assessment of Implementation, Report of the Board of IOSCO
  28 Mar 2018 - View Report | Related Public Reports (2)
  1. FR04/2019 IOSCO Standards Implementation Monitoring (ISIM) on Secondary and Other Market Principles, Report of the Board of IOSCO
     12 Feb 2019 - View Report
  2. FR13/2015 Country Review of SEC Pakistan’s implementation of IOSCO Objectives and Principles of Securities Regulation, Report of the Board of IOSCO
     28 Jul 2015 - View Report
• FR21/2017 Implementation Report: G20/FSB Recommendations related to Securities Markets, Report of the Board of IOSCO
  08 Nov 2017 - View Report | Related Public Reports (1)
  1. FR11/2016 Implementation Report: G20/FSB Recommendations related to Securities Markets, Report of the Board of IOSCO
     28 Oct 2016 - View Report
• 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 | Related Public Reports (2)
  1. 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
  2. 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
• 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 | Related Public Reports (3)
  1. 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
  2. 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
  3. FR19/2015 Peer Review of Regulation of Money Market Funds: Final Report, Report of the Board of IOSCO
     02 Sep 2015 - View Report
• FR16/2017 Thematic Review of the Adoption of the Principles set forth in IOSCO’s Report: Recommendations Regarding the Protection of Client Assets, Report of the Board of IOSCO
  27 Jul 2017 - View Report | Related Public Reports (1)
  1. FR01/14 Recommendations Regarding the Protection of Client Assets, Report of the Board of IOSCO
     29 Jan 2014 - View Report | Download files in zip format | View comments received
• FR09/2017 Country Review: Democratic Socialist Republic of Sri Lanka, IOSCO Objectives and Principles of Securities Regulation, Detailed Assessment of Implementation, Report of the Board of IOSCO
  30 Jun 2017 - View Report
• FR01/2017 Second Review of the Implementation of IOSCO's Principles for Financial Benchmarks in respect of the WM/Reuters 4 p.m. Closing Spot Rate, Report of the Board of IOSCO
  07 Feb 2017 - View Report | Related Public Reports (3)
  1. Statement on Benchmarks Transition
     02 Jun 2021 - View Report
  2. FR07/2014 Review of the Implementation of IOSCO's Principles for Financial Benchmarks by WM in respect of the WM/Reuters 4.p.m Closing Spot Rate, Report of the Board of IOSCO
     30 Sep 2014 - View Report
  3. FR07/13 Principles for Financial Benchmarks, Report of the Board of IOSCO
     17 Jul 2013 - View Report
• FR11/2016 Implementation Report: G20/FSB Recommendations related to Securities Markets, Report of the Board of IOSCO
  28 Oct 2016 - View Report
• FR08/16 Country Review of Republic of Trinidad and Tobago’s Implementation of IOSCO Objectives and Principles of Securities Regulation, Report of the IOSCO Assessment Committee
  04 Aug 2016 - View Report
• 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 | Related Public Reports (3)
  1. 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
  2. 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
  3. PR04/2014 Peer Review of Implementation of Incentive Alignment Recommendations for Securitisation — Report of Key Preliminary Findings to the G20 Leaders' Summit, Report of the Board of IOSCO
     13 Nov 2014 - View Report
• FR19/2015 Peer Review of Regulation of Money Market Funds: Final Report, Report of the Board of IOSCO
  02 Sep 2015 - View Report | Related Public Reports (3)
  1. 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
  2. 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
  3. PR03/2014 Peer Review of Regulation of Money Market Funds: Report of Key Preliminary Findings to the G20 Leaders' Summit, Report of the Board of IOSCO
     13 Nov 2014 - View Report
• FR16/2015 Thematic Review of the Implementation on the Timeliness and Frequency of Disclosure to Investors according to Principles 16 and 26 of the IOSCO Objectives and Principles of Securities Regulation, Report of the Board of IOSCO
  30 Jul 2015 - View Report
• FR15/2015 Review of Implementation Progress in Regulation of Derivative Market Intermediaries, Report of the Board of IOSCO
  29 Jul 2015 - View Report
• FR13/2015 Country Review of SEC Pakistan’s implementation of IOSCO Objectives and Principles of Securities Regulation, Report of the Board of IOSCO
  28 Jul 2015 - View Report | Related Public Reports (1)
  1. FR04/2018 Country Review: Islamic Republic of Pakistan, IOSCO Objectives and Principles of Securities Regulation, Follow-up Report on Assessment of Implementation, Report of the Board of IOSCO
     28 Mar 2018 - View Report
• FR07/2014 Review of the Implementation of IOSCO's Principles for Financial Benchmarks by WM in respect of the WM/Reuters 4.p.m Closing Spot Rate, Report of the Board of IOSCO
  30 Sep 2014 - View Report | Related Public Reports (7)
  1. Statement on Benchmarks Transition
     02 Jun 2021 - View Report
  2. FR01/2017 Second Review of the Implementation of IOSCO's Principles for Financial Benchmarks in respect of the WM/Reuters 4 p.m. Closing Spot Rate, Report of the Board of IOSCO
     07 Feb 2017 - View Report
  3. FR03/2014 Review of the Implementation of IOSCO's Principles for Financial Benchmarks by Administrators of Euribor, Libor and Tibor, Report of the Board of IOSCO
     22 Jul 2014 - View Report
  4. PC/01/2013 Implementation of the Principles for Financial Benchmarks, Report of IOSCO
     30 Oct 2013 - View Report
  5. FR07/13 Principles for Financial Benchmarks, Report of the Board of IOSCO
     17 Jul 2013 - View Report
  6. CR04/13 Principles for Financial Benchmarks, Report of the Board of IOSCO
     Consultation Document - Comments received on the consultation report posted here on 3 June 2013
     16 Apr 2013 - View Report | View comments received
  7. CR01/13 Financial Benchmarks, Report of the Board of IOSCO
     Consultation Document - Comments received on the consultation report posted here on 11 March 2013
     10 Jan 2013 - View Report | View comments received
• FR03/2014 Review of the Implementation of IOSCO's Principles for Financial Benchmarks by Administrators of Euribor, Libor and Tibor, Report of the Board of IOSCO
  22 Jul 2014 - View Report | Related Public Reports (6)
  1. Statement on Benchmarks Transition
     02 Jun 2021 - View Report
  2. FR07/2014 Review of the Implementation of IOSCO's Principles for Financial Benchmarks by WM in respect of the WM/Reuters 4.p.m Closing Spot Rate, Report of the Board of IOSCO
     30 Sep 2014 - View Report
  3. PC/01/2013 Implementation of the Principles for Financial Benchmarks, Report of IOSCO
     30 Oct 2013 - View Report
  4. FR07/13 Principles for Financial Benchmarks, Report of the Board of IOSCO
     17 Jul 2013 - View Report
  5. CR04/13 Principles for Financial Benchmarks, Report of the Board of IOSCO
     Consultation Document - Comments received on the consultation report posted here on 3 June 2013
     16 Apr 2013 - View Report | View comments received
  6. CR01/13 Financial Benchmarks, Report of the Board of IOSCO
     Consultation Document - Comments received on the consultation report posted here on 11 March 2013
     10 Jan 2013 - View Report | View comments received
• FR11/13 Thematic Review of the Implementation of Principles 6 and 7 of the IOSCO Objectives and Principles of Securities Regulation, Report of the Board of IOSCO
  30 Sep 2013 - View Report | Related Public Reports (2)
  1. FR08/11 Methodology for Assessing Implementation of the IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
     Version Revised August 2013
     18 Oct 2011 - Available languages: English, Español, Português
  2. IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
     Updated June 2010
     10 Jun 2010 - View Report