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IOSCO Objectives and Principles of Securities Regulation and the IOSCO Assessment Methodology

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 IOSCO Assessment Methodology is designed to provide IOSCO's interpretation of its 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.