Public Reports

FR08/23 Margin dynamics in centrally cleared commodities markets in 2022, Report of The Basel Committee on Banking Supervision (BCBS), The Committee on Payments and Market Infrastructures and Board of IOSCO
24 May 2023 - View Report
CR01/2023 Policy Recommendations for Crypto and Digital Asset Markets, Report of the Board of IOSCO
Please submit consultation responses to [email protected] by 31 July 2023.
23 May 2023 - View Report | Related Public Reports (2)
1. OR03/22 Crypto-Asset Roadmap for 2022-2023, Report of the Board of IOSCO
  07 Jul 2022 - View Report
2. OR01/2022 IOSCO Decentralized Finance Report, Report of the Board of IOSCO
  24 Mar 2022 - View Report
FR07/23 Good Practices Relating to the Implementation of the IOSCO Principles for Exchange Traded Funds, Report of the Board of IOSCO
11 May 2023 - View Report | Related Public Reports (3)
1. CR04/2022 Exchange Traded Funds – Good Practices for Consideration, Report of the Board of IOSCO
  Comments on the report should be submitted by 8 July 2022
  06 Apr 2022 - View Report
2. OR03/2021 Exchange Traded Funds Thematic Note - Findings and Observations during COVID-19 induced market stresses, Report of the Board of IOSCO
  12 Aug 2021 - View Report
3. FR06/13 Principles for the Regulation of Exchange Traded Funds, Report of the Board of IOSCO
  24 Jun 2013 - View Report
FR06/23 Special Purpose Acquisition Companies, Report of the Board of IOSCO
10 May 2023 - View Report
OR01/23 IOSCO Board Priorities - Work Program 2023-2024, Report of the Board of IOSCO
05 Apr 2023 - View Report
FR05/23 Retail Market Conduct Task Force Final Report, Report of the Board of IOSCO
30 Mar 2023 - View Report | Related Public Reports (23)
1. FR15/22 Investor Behaviour and Investor Education in Times of Turmoil: Recommended Framework for Regulators based on Lessons Learned from the COVID-19 Pandemic, Report of the Board of IOSCO
  30 Nov 2022 - View Report
2. FR12/22 Report on Retail Distribution and Digitalisation, Report of the Board of IOSCO
  12 Oct 2022 - View Report
3. FR10/22 Retail Investor Education in the Context of Sustainable Finance Markets and Products, Report of the Board of IOSCO
  31 Aug 2022 - View Report
4. OR01/2022 IOSCO Decentralized Finance Report, Report of the Board of IOSCO
  24 Mar 2022 - View Report
5. CR03/2022 Retail Market Conduct Task Force, Report of the Board of IOSCO
  Comments on the report should be submitted by 23 May 2022
  21 Mar 2022 - View Report
6. CR02/2022 Report on Retail Distribution and Digitalisation, Report of the Board of IOSCO
  Comments on the report should be submitted by 17 March 2022
  17 Jan 2022 - View Report
7. FR01/2021 Complaint Handling and Redress System for Retail Investors, Report of the Board of IOSCO
  27 Jan 2021 - View Report
8. 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
9. FR12/2020 Investor Education on Crypto-Assets, Report of the Board of IOSCO
  22 Dec 2020 - View Report
10. FR02/2020 Issues, Risks and Regulatory Considerations Relating to Crypto-Asset Trading Platforms, Report of the Board of IOSCO
  12 Feb 2020 - View Report
11. FR13/2019 Core Competencies Framework on Financial Literacy for Investors, Report of the IOSCO Committee 8 on Retail Investors (jointly with the OECD International Network on Financial Education)
  30 Sep 2019 - View Report
12. FR05/2019 The Application of Behavioral Insights to Retail Investor Protection, Report of the Board of IOSCO
  02 Apr 2019 - View Report
13. FR17/2018 Report on Retail OTC Leveraged Products, Report of the Board of IOSCO
  19 Sep 2018 - View Report
14. FR10/2018 The Application of Behavioural Insights to Financial Literacy and Investor Education Programmes and Initiatives, Report of the IOSCO Committee 8 on Retail Investors (jointly with the OECD International Network on Financial Education)
  30 May 2018 - View Report
15. FR03/2018 Senior Investor Vulnerability, Report of the Board of IOSCO
  08 Mar 2018 - Available languages: English, Portuguese, Japanese
16. FR08/2017 Order Routing Incentives, Report of the Board of IOSCO
  19 Jun 2017 - View Report
17. FR07/2017 IOSCO Task Force Report on Wholesale Market Conduct, Report of the Board of IOSCO
  13 Jun 2017 - View Report
18. FR21/2015 Sound Practices for Investment Risk Education, Report of the Board of IOSCO
  15 Sep 2015 - Available languages: English, French, Russian, Spanish
19. FR06/2015 Survey on Anti-Fraud Messaging, Report of the Board of IOSCO
  06 May 2015 - View Report
20. FR09/14 Strategic Framework for Investor Education and Financial Literacy, Report of the Board of IOSCO
  Consultation Document - Comments received on the consultation report posted here on 7 November 2014
  04 Nov 2014 - View Report | View comments received
21. FR04/2014 Report on the IOSCO Social Media and Automation of Advice Tools Surveys, Report of the Board of IOSCO
  24 Jul 2014 - View Report
22. FR01/13 Suitability Requirements With Respect To the Distribution of Complex Financial Products, Report of the Board of IOSCO
  21 Jan 2013 - View Report
23. FR01/11 Principles on Point of Sale Disclosure, Report of the Technical Committee of IOSCO
  01 Feb 2011 - View Report
FR04/23 Report on International Work to Develop a Global Assurance Framework for Sustainability-related Corporate Reporting, Report of the Board of IOSCO
28 Mar 2023 - View Report
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
CPMI-IOSCO stocktake of industry progress on auctions, Committee on Payments and Market Infrastructures and the Board of IOSCO
14 Feb 2023 - View Report | Related Public Reports (1)
1. Central counterparty default management auctions – Issues for consideration, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
  24 Jun 2020 - View Report | Cover note
FR02/23 Principles for the Regulation and Supervision of Commodity Derivatives Markets, Report of the Board of IOSCO
31 Jan 2023 - View Report | Related Public Reports (8)
1. CR05/21 Principles for the Regulation and Supervision of Commodity Derivatives Markets, Report of the Board of IOSCO
  Comments on the report should be submitted by 17 January 2022
  15 Nov 2021 - View Report
2. FR03/2019 Commodity Storage and Delivery Infrastructures: Good or Sound Practices, Report of the Board of IOSCO
  07 Feb 2019 - View Report | View comments received
3. FR19/2018 Update to Survey on the Principles for the Regulation and Supervision of Commodity Derivatives Markets, Report of the Board of IOSCO
  19 Nov 2018 - View Report and cover note | Cover note | Report
4. FR03/2016 The Impact of Storage and Delivery Infrastructure on Commodity Derivatives Market Pricing, Report of the Board of IOSCO
  09 May 2016 - View Report
5. FR06/2014 Update to Survey on the Principles for the Regulation and Supervision of Commodity Derivatives Markets, Report of the Board of IOSCO
  09 Sep 2014 - View Report
6. FR08/12 Survey on the Principles for the Regulation and Supervision of Commodity Derivatives Markets, Report of the Board of IOSCO
  29 Oct 2012 - View Report
7. FR06/12 Principles for Oil Price Reporting Agencies, Report of the Board of IOSCO
  Comments received for this document are posted here
  05 Oct 2012 - View Report | View feedback statement | View comments received
8. OR02/11 Task Force on Commodity Futures Markets - Report to the Financial Stability Board, Report of the Technical Committee of IOSCO
  15 Apr 2011 - View Report
FR01/23 IOSCO Investment Funds Statistics Report, Report of the Board of IOSCO
27 Jan 2023 - View Report | Related Public Reports (7)
1. FR01/2022 IOSCO Investment Funds Statistics Report, Report of the Board of IOSCO
  04 Jan 2022 - View Report
2. FR05/2020 Report on the Fifth IOSCO Hedge Funds Survey, Report of the Board of IOSCO
  15 Apr 2020 - View Report
3. FR18/2019 Recommendations for a Framework Assessing Leverage in Investment Funds, Report of the Board of IOSCO
  13 Dec 2019 - View Report
4. FR01/2018 Recommendations for Liquidity Risk Management for Collective Investment Schemes, Report of the Board of IOSCO
  01 Feb 2018 - View Report
5. FR22/2017 Report on the Fourth IOSCO Hedge Funds Survey, Report of the Board of IOSCO
  23 Nov 2017 - View Report
6. FR27/2015 Report on the third IOSCO Hedge Fund Survey, Report of the Board of IOSCO
  11 Dec 2015 - View Report
7. Report On the Second IOSCO Hedge Fund Survey, Report of the Board of IOSCO
  20 Oct 2013 - View Report
FR15/22 Investor Behaviour and Investor Education in Times of Turmoil: Recommended Framework for Regulators based on Lessons Learned from the COVID-19 Pandemic, Report of the Board of IOSCO
30 Nov 2022 - View Report | Related Public Reports (8)
1. FR05/23 Retail Market Conduct Task Force Final Report, Report of the Board of IOSCO
  30 Mar 2023 - View Report
2. FR12/22 Report on Retail Distribution and Digitalisation, Report of the Board of IOSCO
  12 Oct 2022 - View Report
3. World Investor Week 2021, Report of IOSCO Committee 8 on Retail Investors
  17 Aug 2022 - View Report
4. CR03/2022 Retail Market Conduct Task Force, Report of the Board of IOSCO
  Comments on the report should be submitted by 23 May 2022
  21 Mar 2022 - View Report
5. OR01/2021 IOSCO Board Priorities - Work Program 2021-2022, Report of the Board of IOSCO
  26 Feb 2021 - View Report
6. 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
7. FR13/2019 Core Competencies Framework on Financial Literacy for Investors, Report of the IOSCO Committee 8 on Retail Investors (jointly with the OECD International Network on Financial Education)
  30 Sep 2019 - View Report
8. FR10/2018 The Application of Behavioural Insights to Financial Literacy and Investor Education Programmes and Initiatives, Report of the IOSCO Committee 8 on Retail Investors (jointly with the OECD International Network on Financial Education)
  30 May 2018 - View Report
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 | Related Public Reports (9)
1. FR06/22 Operational resilience of trading venues and market intermediaries during the COVID-19 pandemic & lessons for future disruptions, Report of the Board of IOSCO
  11 Jul 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. 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
4. FR09/2019 Cyber Task Force, Report of the Board of IOSCO
  18 Jun 2019 - View Report
5. FR08/2018 Implementation monitoring of PFMI: follow-up Level 3 assessment of CCPs’ recovery planning, coverage of financial resources and liquidity stress testing, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
  03 May 2018 - View Report
6. FR/2016 Implementation monitoring of PFMI: Level 3 assessment – Report on the financial risk management and recovery practices of 10 derivatives CCPs, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
  16 Aug 2016 - View Report
7. FR07/2016 Guidance on cyber resilience for financial market infrastructures, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
  29 Jun 2016 - View Report
8. FR32/2015 Market Intermediary Business Continuity and Recovery Planning, Report of the Board of IOSCO
  22 Dec 2015 - View Report | View comments received
9. 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
OR08/22 Corporate Bond Markets – Drivers of Liquidity During COVID-19 Induced Market Stresses - Feedback Statement to the Discussion Paper of April 2022, Report of the Board of IOSCO
16 Nov 2022 - 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
IOSCO Statement on Financial Reporting and Disclosure during Economic Uncertainty - The International Organization of Securities Commissions (IOSCO) emphasizes issuers’ need for fair, transparent and timely disclosure about impacts of economic uncertainty
14 Nov 2022 - View Report
CR07/2022 Compliance Carbon Markets, Report of the Board of IOSCO
Consultation Document - Comments received on the consultation report posted here on 27 March 2023
09 Nov 2022 - View Report | View comments received | Related Public Reports (1)
1. CR06/2022 Voluntary Carbon Markets, Report of the Board of IOSCO
  Consultation Document - Comments received on the consultation report posted here on 27 March 2023
  09 Nov 2022 - View Report | View comments received
CR06/2022 Voluntary Carbon Markets, Report of the Board of IOSCO
Consultation Document - Comments received on the consultation report posted here on 27 March 2023
09 Nov 2022 - View Report | View comments received | Related Public Reports (1)
1. CR07/2022 Compliance Carbon Markets, Report of the Board of IOSCO
  Consultation Document - Comments received on the consultation report posted here on 27 March 2023
  09 Nov 2022 - View Report | View comments received
Call for Action (IOSCO Good Sustainable Finance Practices for Financial Markets Voluntary Standard Setting Bodies and Industry Associations), Report of the Sustainable Finance Task Force
07 Nov 2022 - View Report | Related Public Reports (6)
1. FR10/22 Retail Investor Education in the Context of Sustainable Finance Markets and Products, Report of the Board of IOSCO
  31 Aug 2022 - View Report
2. FR09/2021 Environmental, Social and Governance (ESG) Ratings and Data Products Providers, Report of the Board of IOSCO
  23 Nov 2021 - View Report | View comments received
3. FR08/21 Recommendations on Sustainability-Related Practices, Policies, Procedures and Disclosure in Asset Management, Report of the Board of IOSCO
  02 Nov 2021 - View Report | View comments received
4. FR04/21 Report on Sustainability-related Issuer Disclosures, Report of the Board of IOSCO
  28 Jun 2021 - View Report
5. FR04/2020 Sustainable Finance and the Role of Securities Regulators and IOSCO, Report of the Board of IOSCO
  14 Apr 2020 - View Report
6. FR08/2019 Sustainable finance in emerging markets and the role of securities regulators, Report of the IOSCO Growth and Emerging Market Committee
  05 Jun 2019 - View Report
IOSCO IVSC Statement of Cooperation - 18 October 2022, Report of the Board of IOSCO and the International Valuation Standards Council
20 Oct 2022 - View Report