Public Reports

CR06/2017 Regulatory Reporting and Public Transparency in the Secondary Corporate Bond Markets, Report of the Board of IOSCO
Comments on the report should be submitted by 16 October 2017
14 Aug 2017 - View Report | Related Public Reports (2)
1. FR05/2017 Examination of Liquidity of the Secondary Corporate Bond Markets, Report of the Board of IOSCO
  07 Mar 2017 - View Report
2. Transparency Of Corporate Bond Markets, Report of the Technical Committee of IOSCO
  May 2004 - View Report
FR16/2017 Thematic Review of the Adoption of the Principles set forth in IOSCO’s Report: Recommendations Regarding the Protection of Client Assets, Report of the Board of IOSCO
27 Jul 2017 - View Report | Related Public Reports (1)
1. 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
FR15/2017 Implementation monitoring of PFMI: Level 2 assessment report for Singapore, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
18 Jul 2017 - View Report
FR14/2017 Implementation monitoring of the PFMI: Fourth update to Level 1 assessment report, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
14 Jul 2017 - View Report | Related Public Reports (4)
1. FR06/2016 Implementation monitoring of PFMI: Third update to Level 1 assessment report, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
  28 Jun 2016 - View Report
2. FR09/2015 Implementation monitoring of PFMIs: Second update to Level 1 assessment report, Committee on Payments and Market Infrastructures and the Board of IOSCO
  11 Jun 2015 - View Report
3. Implementation monitoring of PFMIs: First update to Level 1 assessment report, Report of the Committee on Payment and Settlement Systems and the Board of IOSCO
  28 May 2014 - View Report
4. Implementation Monitoring Of PFMIs - Level 1 Assessment Report, Report of the Committee on Payment and Settlement Systems and the Board of IOSCO
  12 Aug 2013 - View Report
CR05/2017 Open-ended Fund Liquidity and Risk Management – Good Practices and Issues for Consideration, Report of the Board of IOSCO
Comments on the report should be submitted by 18 September 2017
06 Jul 2017 - View Report | Related Public Reports (3)
1. CR04/2017 Consultation on CIS Liquidity Risk Management Recommendations, Report of the Board of IOSCO
  Comments on the report should be submitted by 18 September 2017
  06 Jul 2017 - View Report
2. FR06/13 Principles for the Regulation of Exchange Traded Funds, Report of the Board of IOSCO
  24 Jun 2013 - View Report
3. 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
CR04/2017 Consultation on CIS Liquidity Risk Management Recommendations, Report of the Board of IOSCO
Comments on the report should be submitted by 18 September 2017
06 Jul 2017 - View Report | Related Public Reports (3)
1. CR05/2017 Open-ended Fund Liquidity and Risk Management – Good Practices and Issues for Consideration, Report of the Board of IOSCO
  Comments on the report should be submitted by 18 September 2017
  06 Jul 2017 - View Report
2. FR06/13 Principles for the Regulation of Exchange Traded Funds, Report of the Board of IOSCO
  24 Jun 2013 - View Report
3. 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
CR03/2017 Criteria for identifying simple, transparent and comparable short-term securitisations, Report of the Basel Committee on Banking Supervision and the Board of IOSCO
Comments on the report should be submitted by 5 October 2017
06 Jul 2017 - View Report | Related Public Reports (2)
1. FR12/2015 Criteria for identifying simple, transparent and comparable securitisations, Report of the Basel Committee on Banking Supervision and the Board of IOSCO
  23 Jul 2015 - View Report
2. CR10/2014 Criteria for identifying simple, transparent and comparable securitisations, Report of the Basel Committee on Banking Supervision and the Board of IOSCO
  Consultation Document - Comments received on the consultation report posted here on 18 January 2015
  11 Dec 2014 - View Report | View comments received
FR13/2017 Chairs’ Report on the Implementation of the Joint Workplan for Strengthening the Resilience, Recovery and Resolvability of Central Counterparties, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
05 Jul 2017 - View Report
FR12/2017 Analysis of Central Clearing Interdependencies, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
05 Jul 2017 - View Report
FR11/2017 Recovery of financial market infrastructures and Cover Note, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
05 Jul 2017 - View Report
FR10/2017 Resilience of central counterparties (CCPs): Further guidance on the PFMI and Cover Note, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
05 Jul 2017 - View Report
FR09/2017 Country Review: Democratic Socialist Republic of Sri Lanka, IOSCO Objectives and Principles of Securities Regulation, Detailed Assessment of Implementation, Report of the Board of IOSCO
30 Jun 2017 - View Report
CR02/2017 Framework for supervisory stress testing of central counterparties (CCPs) and Cover Note, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
Comments on the report should be submitted by 22 September 2017
28 Jun 2017 - View Report
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
Comments on the report should be submitted by 30 August 2017 (Following feedback from market participants, the original consultation period (until 30 August 2017) has been extended to the 15 September 2017 cob only for data elements related to prices, quantities and other payments (from section 2.37 to section 2.63 of the consultative report))
27 Jun 2017 - View Report | Related Public Reports (7)
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. 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
  Comments on the report should be submitted by 30 November 2016
  19 Oct 2016 - View Report | Response Form | View comments received
3. 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
4. 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
5. 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
6. 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
7. 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
FR08/2017 Order Routing Incentives, Report of the Board of IOSCO
19 Jun 2017 - View Report | Related Public Reports (1)
1. CR07/2016 Report on Order Routing Incentives, Report of the Board of IOSCO
  Comments on the report should be submitted by 21 February 2017
  21 Dec 2016 - View Report
FR07/2017 IOSCO Task Force Report on Wholesale Market Conduct, Report of the Board of IOSCO
13 Jun 2017 - View Report
Methodology for Assessing Implementation of the IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
31 May 2017 - View Report | Related Public Reports (8)
1. FR08/11 Methodology for Assessing Implementation of the IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
  Version Revised August 2013
  18 Oct 2011 - Available languages: English, Spanish, Portuguese | Download files in zip format
2. IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
  Updated June 2010
  10 Jun 2010 - View Report
3. Methodology For Assessing Implementation Of The IOSCO Objectives And Principles Of Securities Regulation, Report of IOSCO
  Updated with references to work done by IOSCO from September 1998 to February 2008
  Apr 2008 - View Report
4. IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
  Updated with references to work done by IOSCO from September 1998 to February 2008
  Apr 2008 - View Report
5. Methodology For Assessing Implementation Of The IOSCO Objectives And Principles Of Securities Regulation, Report of IOSCO
  Oct 2003 - Available languages: English, French, Spanish
6. IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
  Updated with references to work done by IOSCO from September 1998 to May 2003
  Oct 2003 - View Report
7. IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
  Updated with references to work done by IOSCO since September 1998
  Feb 2002 - View Report
8. Objectives and Principles of Securities Regulation, Report of IOSCO
  Sep 1998 - Available languages: English, French, Spanish
IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
31 May 2017 - View Report | Related Public Reports (8)
1. FR08/11 Methodology for Assessing Implementation of the IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
  Version Revised August 2013
  18 Oct 2011 - Available languages: English, Spanish, Portuguese | Download files in zip format
2. IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
  Updated June 2010
  10 Jun 2010 - View Report
3. Methodology For Assessing Implementation Of The IOSCO Objectives And Principles Of Securities Regulation, Report of IOSCO
  Updated with references to work done by IOSCO from September 1998 to February 2008
  Apr 2008 - View Report
4. IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
  Updated with references to work done by IOSCO from September 1998 to February 2008
  Apr 2008 - View Report
5. Methodology For Assessing Implementation Of The IOSCO Objectives And Principles Of Securities Regulation, Report of IOSCO
  Oct 2003 - Available languages: English, French, Spanish
6. IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
  Updated with references to work done by IOSCO from September 1998 to May 2003
  Oct 2003 - View Report
7. IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
  Updated with references to work done by IOSCO since September 1998
  Feb 2002 - View Report
8. Objectives and Principles of Securities Regulation, Report of IOSCO
  Sep 1998 - Available languages: English, French, Spanish
FR06/2017 Implementation monitoring of PFMI: Level 2 assessment report for Hong Kong SAR, Committee on Payments and Market Infrastructures and the Board of IOSCO
24 May 2017 - View Report
FSB-IOSCO Roundtable on Compensation Practices in the Securities Sector: Summary and main takeaways, Report of the Financial Stability Board (FSB) and IOSCO
06 Apr 2017 - View Report