Public Comment Letters - IOSCO Consultation Reports (Comments Received)

  • CR05/2016 Harmonisation of critical OTC derivatives data elements (other than UTI and UPI) – second batch, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
    19 Oct 2016 - View Report | View comments received | Related Public Reports (6)
    1. CR01/2017 Harmonisation of critical OTC derivatives data elements (other than UTI and UPI) – third batch, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
      27 Jun 2017 - View Report
    2. CR10/2015 Harmonisation of the Unique Product Identifier, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
      17 Dec 2015 - View Report | View comments received
    3. CR08/2015 Harmonisation of key OTC derivatives data elements (other than UTI and UPI) – first batch, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
      Consultation Document - Comments received on the consultation report posted here on 6 November 2015
      02 Sep 2015 - View Report | View comments received
    4. CR07/2015 Harmonisation of the Unique Transaction Identifier, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
      Consultation Document - Comments received on the consultation report posted here on 6 November 2015
      19 Aug 2015 - View Report | View comments received
    5. Authorities' Access to Trade Repository Data, Report of the Committee on Payment and Settlement Systems and the Board of IOSCO
      12 Aug 2013 - View Report
    6. FR01/12 Report On OTC Derivatives Data Reporting and Aggregation Requirements, Report of the Committee on Payment and Settlement Systems and the IOSCO Technical Committee
      17 Jan 2012 - View Report
  • CR04/2016 Good Practices for the Termination of Investment Funds, Report of the Board of IOSCO
    18 Aug 2016 - View Report | View comments received
  • CR03/2016 Harmonisation of the Unique Product Identifier (UPI) Second consultative report issued by CPMI-IOSCO, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
    18 Aug 2016 - View Report | View comments received | Related Public Reports (1)
    1. CR10/2015 Harmonisation of the Unique Product Identifier, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
      17 Dec 2015 - View Report | View comments received
  • CR02/2016 Resilience and recovery of central counterparties (CCPs): Further guidance on the PFMI, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
    16 Aug 2016 - View Report | View comments received
  • CR01/2016 Examination of Liquidity of the Secondary Corporate Bond Markets, Report of the Board of IOSCO
    05 Aug 2016 - View Report | View comments received | Related Public Reports (1)
    1. FR05/2017 Examination of Liquidity of the Secondary Corporate Bond Markets, Report of the Board of IOSCO
      07 Mar 2017 - View Report
  • FR33/2015 Sound Practices at Large Intermediaries Relating to the Assessment of Creditworthiness and the Use of External Credit Ratings, Report of the Board of IOSCO
    22 Dec 2015 - View Report | View comments received
  • FR32/2015 Market Intermediary Business Continuity and Recovery Planning, Report of the Board of IOSCO
    22 Dec 2015 - View Report | View comments received
  • 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
  • CR10/2015 Harmonisation of the Unique Product Identifier, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
    17 Dec 2015 - View Report | View comments received
  • CR09/2015 Guidance on cyber resilience for financial market infrastructures, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
    24 Nov 2015 - View Report | View comments received
  • CR08/2015 Harmonisation of key OTC derivatives data elements (other than UTI and UPI) – first batch, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
    02 Sep 2015 - View Report | View comments received
  • CR07/2015 Harmonisation of the Unique Transaction Identifier, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
    19 Aug 2015 - View Report | View comments received | Related Public Reports (2)
    1. FR04/2017 Technical Guidance on Harmonisation of the Unique Transaction Identifier, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
      28 Feb 2017 - View Report
    2. FR01/12 Report On OTC Derivatives Data Reporting and Aggregation Requirements, Report of the Committee on Payment and Settlement Systems and the IOSCO Technical Committee
      17 Jan 2012 - View Report
  • CR06/2015 Report on Elements of International Regulatory Standards on Fees and Expenses of Investment Funds, Report of the Board of IOSCO
    25 Jun 2015 - View Report | View comments received | Related Public Reports (3)
    1. Final Report On Elements Of International Regulatory Standards On Fees And Expenses Of Investment Funds, Report of the Technical Committee of IOSCO
      Nov 2004 - View Report
    2. Elements Of International Regulatory Standards On Fees And Expenses Of Investment Funds, Report of the Technical Committee of IOSCO
      Consultation Document
      Feb 2004 - View Report
    3. Fees And Commissions Within The CIS And Asset Management Sector: Summary Of Answers To Questionnaire, Report of the Technical Committee of IOSCO
      Oct 2003 - View Report
  • Public responses to March 2015 consultative document Assessment Methodologies for Identifying NBNI G-SIFIs
    12 June 2015

    The FSB and IOSCO published on 4 March 2015 the second consultative document on Assessment Methodologies for Identifying Non-Bank Non-Insurer Global Systemically Important Financial Institutions (NBNI G-SIFIs).

    The FSB and IOSCO invited comments on the consultative proposals by 29 May 2015. These comments (unless marked as confidential by respondents) are available here.

    The FSB and IOSCO wish to thank those who have taken the time and effort to express their views. Both bodies are reviewing the responses and expect to discuss the findings at their next Plenary and Board meetings.

    Meanwhile, the FSB, in coordination with IOSCO, has started work on identifying financial stability risks associated with market liquidity in fixed income markets and asset management activities in the current conjuncture, as well as longer-term structural financial stability issues that may arise. This work will evaluate the role that existing or additional activity-based policy measures could play in mitigating potential risks, and make policy recommendations as necessary. The FSB will discuss the initial findings at its next Plenary meeting in September.

  • FR08/2015 Good Practices on Reducing Reliance on CRAs in Asset Management, Report of the Board of IOSCO
    08 Jun 2015 - View Report | View comments received | Related Public Reports (1)
    1. CR04/14 Good Practices on Reducing Reliance on CRAs in asset management, Report of the Board of IOSCO
      Consultation Document
      04 Jun 2014 - View Report
  • CR02/2015 Assessment Methodologies for Identifying Non-Bank Non-Insurer Global Systemically Important Financial Institutions, Report of the Financial Stability Board (FSB) and IOSCO
    04 Mar 2015 - View Report | View statement | View comments received | Related Public Reports (1)
    1. Assessment Methodologies for Identifying Non-Bank Non-Insurer Global Systemically Important Financial Institutions, Report of the Financial Stability Board (FSB) and IOSCO
      Consultation Document - Comments received on the consultation report posted here on 25 April 2014
      08 Jan 2014 - View Report | View comments received
  • FR01/2015 Risk Mitigation Standards for Non-centrally Cleared OTC Derivatives, Report of the IOSCO WGRMS (Working Group on Risk Mitigation Standards)
    28 Jan 2015 - View Report | View feedback statement | View comments received | Related Public Reports (1)
    1. CR06/2014 Risk Mitigation Standards for Non-centrally Cleared OTC Derivatives, Report of the Board of IOSCO
      Consultation Document
      17 Sep 2014 - View Report
  • CR10/2014 Criteria for identifying simple, transparent and comparable securitisations, Report of the Basel Committee on Banking Supervision and the Board of IOSCO
    11 Dec 2014 - View Report | View comments received
  • CR09/2014 IOSCO Task Force on Cross-Border Regulation, Report of the Board of IOSCO
    25 Nov 2014 - View Report | View comments received | Related Public Reports (1)
    1. FR23/2015 IOSCO Task Force on Cross-Border Regulation, Report of the Board of IOSCO
      17 Sep 2015 - View Report
  • CR08/2014 Post-Trade Transparency in the Credit Default Swaps Market, Report of the Board of IOSCO
    17 Nov 2014 - View Report | View comments received
  • FR09/14 Strategic Framework for Investor Education and Financial Literacy, Report of the Board of IOSCO
    04 Nov 2014 - View Report | View comments received | Related Public Reports (1)
    1. CR03/14 Strategic Framework for Investor Education and Financial Literacy, Report of the Board of IOSCO
      Consultation Document
      29 May 2014 - View Report
  • CR05/14 Proposed Statement on Non-GAAP Financial Measures, Report of the Board of IOSCO
    08 Sep 2014 - View Report | View comments received | Related Public Reports (1)
    1. FR05/2016 Statement On NON-GAAP Financial Measures, Report of the Board of IOSCO
      07 Jun 2016 - View Report
  • CR01/2014 Code of Conduct Fundamentals for Credit Rating Agencies, Report of the Board of IOSCO
    10 Feb 2014 - View Report | View comments received | Related Public Reports (7)
    1. A Review of Implementation of the IOSCO Code of Conduct Fundamentals for Credit Rating Agencies, Report of the Technical Committee of IOSCO
      Mar 2009 - View Report
    2. Code of Conduct Fundamentals for Credit Rating Agencies, Report of the Technical Committee of IOSCO
      May 2008 - View Report
    3. Responses to the Consultation Report entitled Review of Implementation of The IOSCO Fundamentals of a Code of Conduct For Credit Rating Agencies, Report of the Technical Committee of IOSCO
      May 2007 - View Report
    4. Review Of Implementation Of The IOSCO Fundamentals Of A Code Of Conduct For Credit Rating Agencies, Report of the Technical Committee of IOSCO
      Consultation Document
      Feb 2007 - View Report
    5. Code of Conduct Fundamentals for Credit Rating Agencies, Report of the Technical Committee of IOSCO
      Dec 2004 - View Report
    6. Public Comments on Code of Conduct Fundamentals for CRAs, Report of IOSCO
      Nov 2004 - View Report
    7. Code Of Conduct Fundamentals For Credit Rating Agencies, Report from the TC Chairmen Task Force on CRAs
      Consultation Document
      Oct 2004 - View Report
  • 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 | Related Public Reports (3)
    1. CR07/2014 Principles regarding the Custody of Collective Investment Schemes’ Assets, Report of the Board of IOSCO
      Consultation Document - Comments may be submitted by 10 December 2014
      10 Oct 2014 - View Report
    2. CR02/13 Recommendations Regarding the Protection of Client Assets, Report of the Board of IOSCO
      Consultation Document
      08 Feb 2013 - View Report | Download files in zip format
    3. Guidance on Custody Arrangements for Collective Investment Schemes - A Discussion Paper, Report of the Technical Committee of IOSCO
      Sep 1996 - View Report
  • Assessment Methodologies for Identifying Non-Bank Non-Insurer Global Systemically Important Financial Institutions, Report of the Financial Stability Board (FSB) and IOSCO
    08 Jan 2014 - View Report | View comments received | Related Public Reports (1)
    1. CR02/2015 Assessment Methodologies for Identifying Non-Bank Non-Insurer Global Systemically Important Financial Institutions, Report of the Financial Stability Board (FSB) and IOSCO
      04 Mar 2015 - View Report | View statement | View comments received
  • FR14/13 Regulation of Retail Structured Products, Report of the Board of IOSCO
    20 Dec 2013 - View Report | View comments received | Related Public Reports (2)
    1. CR05/13 Regulation of Retail Structured Products, Report of the Board of IOSCO
      Consultation Document
      18 Apr 2013 - 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
  • Assessment Methodology for the Oversight Expectations Applicable To Critical Service Providers, Report of the Committee on Payment and Settlement Systems and the Board of IOSCO
    18 Dec 2013 - View Report | View comments received | Related Public Reports (2)
    1. Assessment methodology for the oversight expectations applicable to critical service providers, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
      23 Dec 2014 - View Report
    2. Principles for Financial Market Infrastructures and Consultation Papers on Assessment Methodology and Disclosure Framework, Report of the Committee on Payment and Settlement Systems and the IOSCO Technical Committee
      Consultation Document - Comments received on the consultation papers posted here on 28 September 2012
      16 Apr 2012 - View Report | Download files in zip format
  • FR13/13 Regulatory Issues Raised by Changes in Market Structure, Report of the Board of IOSCO
    13 Dec 2013 - View Report | View comments received | Related Public Reports (4)
    1. CR03/13 Regulatory Issues Raised by Changes in Market Structure, Report of the Board of IOSCO
      Consultation Document
      21 Mar 2013 - View Report
    2. FR09/11 Regulatory Issues Raised by the Impact of Technological Changes on Market Integrity and Efficiency, Report of the Technical Committee of IOSCO
      20 Oct 2011 - View Report | Download files in zip format
    3. CR02/11 Regulatory Issues Raised by the Impact of Technological Changes on Market Integrity and Efficiency, Report of the Technical Committee of IOSCO
      Consultation Document
      06 Jul 2011 - View Report
    4. Transparency and Market Fragmentation, Report of the Technical Committee of IOSCO
      Nov 2001 - View Report
  • Public Quantitative Disclosure Standards for Central Counterparties, Report of the Committee on Payment and Settlement Systems and the Board of IOSCO
    15 Oct 2013 - View Report | Download files in zip format | View comments received | Related Public Reports (3)
    1. FR03/2015 Public quantitative disclosure standards for central counterparties, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
      26 Feb 2015 - View Report
    2. Principles for financial market infrastructures: Disclosure framework and Assessment methodology, Report of the Committee on Payment and Settlement Systems and the Board of IOSCO
      14 Dec 2012 - View Report
    3. Principles for Financial Market Infrastructures and Consultation Papers on Assessment Methodology and Disclosure Framework, Report of the Committee on Payment and Settlement Systems and the IOSCO Technical Committee
      Consultation Document - Comments received on the consultation papers posted here on 28 September 2012
      16 Apr 2012 - View Report | Download files in zip format
  • Recovery of Financial Market Infrastructures, Report of the Committee on Payment and Settlement Systems and the Board of IOSCO
    12 Aug 2013 - View Report | View comments received | Related Public Reports (3)
    1. FR08/2014 Recovery of financial market infrastructures, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
      15 Oct 2014 - View Report
    2. CR11/12 Recovery and Resolution of Financial Market Infrastructures, Report of the Committee on Payment and Settlement Systems and the Board of IOSCO
      Consultation Document - Comments received on the consultation report posted here on 18 January 2013
      31 Jul 2012 - View Report | Download files in zip format | View comments received
    3. Principles for Financial Market Infrastructures and Consultation Papers on Assessment Methodology and Disclosure Framework, Report of the Committee on Payment and Settlement Systems and the IOSCO Technical Committee
      Consultation Document - Comments received on the consultation papers posted here on 28 September 2012
      16 Apr 2012 - View Report | Download files in zip format
  • FR08/13 Supervisory Colleges for Credit Rating Agencies, Report of the Board of IOSCO
    30 Jul 2013 - View Report | View comments received | Related Public Reports (4)
    1. CR 13/12 Supervisory Colleges for Credit Rating Agencies, Report of the Board of IOSCO
      Consultation Document
      21 Dec 2012 - View Report
    2. FR04/11 Regulatory Implementation of the Statement of Principles Regarding the Activities of Credit Rating Agencies, Report of the Technical Committee of IOSCO
      24 Feb 2011 - View Report
    3. Principles Regarding Cross-Border Supervisory Cooperation, Report of the Technical Committee of IOSCO
      25 May 2010 - View Report
    4. Code of Conduct Fundamentals for Credit Rating Agencies, Report of the Technical Committee of IOSCO
      May 2008 - View Report
  • FR05/13 Principles for the Valuation of Collective Investment Schemes, Report of the Board of IOSCO
    03 May 2013 - View Report | View comments received | Related Public Reports (1)
    1. Regulatory Approaches to the Valuation and Pricing of Collective Investment Schemes, Report of the Technical Committee of IOSCO
      May 1999 - View Report
  • FR04/13 Technological Challenges to Effective Market Surveillance Issues and Regulatory Tools, Report of the Board of IOSCO
    22 Apr 2013 - View Report | View comments received | Related Public Reports (3)
    1. CR12/12 Technological Challenges to Effective Market Surveillance Issues and Regulatory Tools, Report of the Board of IOSCO
      Consultation Document
      22 Aug 2012 - View Report
    2. FR09/11 Regulatory Issues Raised by the Impact of Technological Changes on Market Integrity and Efficiency, Report of the Technical Committee of IOSCO
      20 Oct 2011 - View Report | Download files in zip format
    3. CR02/11 Regulatory Issues Raised by the Impact of Technological Changes on Market Integrity and Efficiency, Report of the Technical Committee of IOSCO
      Consultation Document
      06 Jul 2011 - View Report
  • CR04/13 Principles for Financial Benchmarks, Report of the Board of IOSCO
    16 Apr 2013 - View Report | View comments received | Related Public Reports (5)
    1. 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
    2. 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 | Download files in zip format
    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. 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
  • Authorities' Access to Trade Repository Data, Report of the Committee on Payment and Settlement Systems and the Board of IOSCO
    11 Apr 2013 - View Report | View comments received | Related Public Reports (1)
    1. Authorities' Access to Trade Repository Data, Report of the Committee on Payment and Settlement Systems and the Board of IOSCO
      12 Aug 2013 - View Report
  • FR03/13 Principles of Liquidity Risk Management for Collective Investment Schemes, Report of the Board of IOSCO
    04 Mar 2013 - View Report | View comments received | Related Public Reports (3)
    1. CR06/12 Principles of Liquidity Risk Management for Collective Investment Schemes, Report of the Technical Committee of IOSCO
      Consultation Document
      26 Apr 2012 - View Report
    2. CR01/12 Principles for the Valuation of Collective Investment Schemes, Report of the Technical Committee of IOSCO
      Consultation Document
      16 Feb 2012 - View Report
    3. FR02/12 Principles on Suspensions of Redemptions in Collective Investment Schemes, Report of the Technical Committee of IOSCO
      19 Jan 2012 - View Report | Download files in zip format
  • Margin requirements for non-centrally cleared derivatives, Report of the Basel Committee on Banking Supervision and the Board of IOSCO
    16 Feb 2013 - View Report | View comments received | Related Public Reports (2)
    1. Margin Requirements for Non-Centrally Cleared Derivatives, Report of the Basel Committee on Banking Supervision and the Board of IOSCO
      02 Sep 2013 - View Report
    2. CR10/12 Margin Requirements for Non-Centrally-Cleared Derivatives, Report of the Basel Committee on Banking Supervision and the Board of IOSCO
      Consultation Document - Comments received on the consultation report posted here on 8 October 2012
      06 Jul 2012 - View Report | Download files in zip format
  • CR01/13 Financial Benchmarks, Report of the Board of IOSCO
    10 Jan 2013 - View Report | View comments received | Related Public Reports (5)
    1. 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
    2. 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 | Download files in zip format
    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
  • FR06/12 Principles for Oil Price Reporting Agencies, Report of the Board of IOSCO
    05 Oct 2012 - View Report | View feedback statement | View comments received | Related Public Reports (5)
    1. FR05/2014 Implementation of the Principles for Oil Price Reporting Agencies, Report of the Board of IOSCO
      09 Sep 2014 - View Report
    2. Frequently Asked Questions (FAQ) on IOSCO Principles for Price Reporting Agencies report (PRA Report), Report of IOSCO
      15 Mar 2013 - View Report
    3. OR07/12 Standing Committee on Commodity Futures Markets Update to G20 Leaders on IOSCO's Consultation on the Functioning and Oversight of Oil Price Reporting Agencies, Report of the Technical Committee of IOSCO
      12 Jun 2012 - View Report
    4. CR04/12 Functioning and Oversight of Oil Price Reporting Agencies, Report of the Technical Committee of IOSCO
      Consultation Document
      01 Mar 2012 - View Report
    5. Oil Price Reporting Agencies, Report by IEA, IEF, OPEC and IOSCO to G20 Finance Ministers
      14 Nov 2011 - View Report
  • CR11/12 Recovery and Resolution of Financial Market Infrastructures, Report of the Committee on Payment and Settlement Systems and the Board of IOSCO
    31 Jul 2012 - View Report | Download files in zip format | View comments received | Related Public Reports (3)
    1. FR08/2014 Recovery of financial market infrastructures, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
      15 Oct 2014 - View Report
    2. Recovery of Financial Market Infrastructures, Report of the Committee on Payment and Settlement Systems and the Board of IOSCO
      Consultation Document - Comments received on the consultation report posted here on 8 November 2013
      12 Aug 2013 - View Report | View comments received
    3. Principles for Financial Market Infrastructures and Consultation Papers on Assessment Methodology and Disclosure Framework, Report of the Committee on Payment and Settlement Systems and the IOSCO Technical Committee
      Consultation Document - Comments received on the consultation papers posted here on 28 September 2012
      16 Apr 2012 - View Report | Download files in zip format