• About IOSCO
  • Who We Are
    • About IOSCO
    • IOSCO Fact Sheet
    • IOSCO Policy and Implementation Monitoring Processes
    • Chairs of the Committees
    • General Secretariat
  • Organizational Structure
    • Presidents Committee
    • IOSCO Board
    • Growth and Emerging Markets Committee
    • Regional Committees
      • Africa / Middle-East Regional Committee
      • Asia-Pacific Regional Committee
      • European Regional Committee
      • Inter-American Regional Committee
    • Affiliate Members Consultative Committee
  • Key Regulatory Standards
  • International Cooperation
    • MMoU
    • EMMoU
    • MMoU/EMMoU Stats
    • Administrative Arrangement
  • By-Laws
  • Resolutions
  • Policy and Standard Setting
    • Issuer Accounting, Audit and Disclosure (Committee 1)
    • Regulation of Secondary Markets (Committee 2)
    • Regulation of Market Intermediaries (Committee 3)
    • Enforcement and the Exchange of Information (Committee 4)
      • Committee 4 Information
      • Committee 4 Resources
    • Investment Management (Committee 5)
    • Credit Rating Agencies (Committee 6)
    • Committee on Derivatives (Committee 7)
    • Committee on Retail Investors (Committee 8)
    • Financial Benchmarks
  • Standards Implementation
    • Assessment Committee
  • Capacity Building Online Toolkit
  • CPMI-IOSCO
  • Accounting and Audit Oversight
    • Monitoring Group
    • Monitoring Board
  • IOSCO Membership
    • Becoming a Member
    • Ordinary Members
    • Associate Members
    • Affiliate Members
    • IOSCO Membership Map
  • Vacancies
  • Tendering
• Media Room
  • Media Releases
  • Articles
  • Public Communications by IOSCO Officials
  • Audiovisual
• Publications
  • Public Reports
  • Collaboration with the FSB
  • Annual Reports
  • Comment Letters by IOSCO
  • Public Comment Letters
  • Information Repositories
  • Agreements with other Institutions
  • FSB, BIS and Other Updates
  • Regulators' Statements on Initial Coin Offerings
• Investor Protection
  • Investor Alerts Portal
  • What to do when suspecting a scam
  • Investor Education Gateway
  • Other Alerts
• Training
  • IOSCO Training Programs
  • Other Regulatory Training Programs
  • Global Certificate Program
  • Secondment Register
• Events
  • Annual Meetings
  • IOSCO Meetings and Events
  • Other Regulatory Events
• Research

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.