Public Reports

CR05/2023 Leveraged Loans and CLOs Good Practices for Consideration, Report of the Board of IOSCO
Comments on the report should be submitted by 15 December 2023
14 Sep 2023 - View Report
FR10/23 Thematic Analysis: Emerging Risks in Private Finance, Report of the Board of IOSCO
14 Sep 2023 - View Report
CR04/2023 Policy Recommendations for Decentralized Finance (DeFi), Report of the Board of IOSCO
Comments on the report should be submitted by 19 October 2023
07 Sep 2023 - View Report | Related Public Reports (1)
1. OR01/2022 IOSCO Decentralized Finance Report, Report of the Board of IOSCO
  24 Mar 2022 - View Report
Report on current central counterparty practices to address non-default losses, Committee on Payments and Market Infrastructures and the Board of IOSCO
23 Aug 2023 - View Report | Cover note
IOSCO Chair welcomes European Commission’s Publication of ESRS, integrating ISSB standards as endorsed by IOSCO, -
31 Jul 2023 - View Report
IOSCO endorsement assessment of the ISSB Standards for sustainability-related disclosures, -
25 Jul 2023 - View Report
FR09/23 Compliance Carbon Markets, Report of the Board of IOSCO
05 Jul 2023 - View Report
CR03/2023 Anti-dilution Liquidity Management Tools – Guidance for Effective Implementation of the Recommendations for Liquidity Risk Management for Collective Investment Schemes, Report of the Board of IOSCO
Comments on the report should be submitted by 4 September 2023
05 Jul 2023 - View Report | View comments received | Related Public Reports (3)
1. FR13/22 Thematic Review on Liquidity Risk Management Recommendations, Report of the Board of IOSCO
  16 Nov 2022 - View Report
2. FR02/2018 Open-ended Fund Liquidity and Risk Management – Good Practices and Issues for Consideration, Report of the Board of IOSCO
  01 Feb 2018 - View Report
3. FR01/2018 Recommendations for Liquidity Risk Management for Collective Investment Schemes, Report of the Board of IOSCO
  01 Feb 2018 - View Report
Statement on Alternatives to USD Libor, Report of the Board of IOSCO
03 Jul 2023 - View Report
CR02/2023 IOSCO calls for inputs on Goodwill, Report of the Board of IOSCO
Comments on the report should be submitted by 20 September 2023
22 Jun 2023 - View Report
World Investor Week 2022, Report of IOSCO Committee 8 on Retail Investors
22 Jun 2023 - View Report | Related Public Reports (4)
1. World Investor Week 2021, Report of IOSCO Committee 8 on Retail Investors
  17 Aug 2022 - View Report
2. World Investor Week 2020, Report of IOSCO Committee 8 on Retail Investors
  07 Jun 2021 - View Report
3. World Investor Week 2019, Report of IOSCO Committee 8 on Retail Investors
  08 Oct 2020 - View Report
4. World Investor Week 2017, Report of IOSCO Committee 8 on Retail Investors
  24 Jul 2018 - View Report
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