Public Reports

FR04/2022 Market Data in the Secondary Equity Market: Current Issues and Considerations, Report of the Board of IOSCO
28 Apr 2022 - View Report | View comments received | Related Public Reports (1)
1. CR03/2020 Market Data In The Secondary Equity Markets, Report of the Board of IOSCO
  Comments on the report should be submitted by 26 February 2021
  03 Dec 2020 - View Report
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 | Related Public Reports (2)
1. 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
2. FR06/13 Principles for the Regulation of Exchange Traded Funds, Report of the Board of IOSCO
  24 Jun 2013 - View Report
OR02/2022 Corporate Bond Markets – Drivers of Liquidity During COVID-19 Induced Market Stresses, Report of the Board of IOSCO
Comments on the report should be submitted by 8 July 2022
06 Apr 2022 - View Report
OR01/2022 IOSCO Decentralized Finance Report, Report of the Board of IOSCO
24 Mar 2022 - View Report | Related Public Reports (1)
1. OR01/2020 Global Stablecoin Initiatives, Report of the Board of IOSCO
  23 Mar 2020 - View Report
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 | Related Public Reports (14)
1. 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
2. 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
3. FR12/2020 Investor Education on Crypto-Assets, Report of the Board of IOSCO
  22 Dec 2020 - View Report
4. FR02/2020 Issues, Risks and Regulatory Considerations Relating to Crypto-Asset Trading Platforms, Report of the Board of IOSCO
  12 Feb 2020 - View Report
5. CR02/2019 Issues, Risks and Regulatory Considerations Relating to Crypto-Asset Trading Platforms, Report of the Board of IOSCO
  Consultation Document - Comments received on the consultation report posted here on 15 August 2019
  28 May 2019 - View Report | View comments received
6. FR05/2019 The Application of Behavioral Insights to Retail Investor Protection, Report of the Board of IOSCO
  02 Apr 2019 - View Report
7. FR17/2018 Report on Retail OTC Leveraged Products, Report of the Board of IOSCO
  19 Sep 2018 - View Report
8. FR03/2018 Senior Investor Vulnerability, Report of the Board of IOSCO
  08 Mar 2018 - Available languages: English, Portuguese, Japanese
9. FR08/2017 Order Routing Incentives, Report of the Board of IOSCO
  19 Jun 2017 - View Report
10. FR14/2016 Report on the IOSCO Survey on Retail OTC Leveraged Products, Report of the Board of IOSCO
  21 Dec 2016 - View Report
11. 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
12. FR01/13 Suitability Requirements With Respect To the Distribution of Complex Financial Products, Report of the Board of IOSCO
  21 Jan 2013 - View Report
13. FR01/11 Principles on Point of Sale Disclosure, Report of the Technical Committee of IOSCO
  01 Feb 2011 - View Report | Download files in zip format
14. Principles on Point of Sale Disclosure, Report of the Technical Committee of IOSCO
  Consultation Document
  16 Nov 2009 - View Report
FR03/2022 Central Counterparty Financial Resources for Recovery and Resolution, Report of The Financial Stability Board, the Committee on Payments and Market Infrastructures and IOSCO
10 Mar 2022 - View Report
FR02/2022 Lessons Learned from the Use of Global Supervisory Colleges, Report of the Board of IOSCO
18 Jan 2022 - View Report | Related Public Reports (4)
1. FR06/2020 Good Practices on Processes for Deference, Report of the Board of IOSCO
  26 Jun 2020 - View Report
2. FR07/2019 Market Fragmentation & Cross-border Regulation, Report of the Board of IOSCO
  04 Jun 2019 - View Report
3. FR23/2015 IOSCO Task Force on Cross-Border Regulation, Report of the Board of IOSCO
  17 Sep 2015 - View Report
4. CR09/2014 IOSCO Task Force on Cross-Border Regulation, Report of the Board of IOSCO
  Consultation Document
  25 Nov 2014 - View Report | View comments received | Written submissions to TF-XBR | TF-XBR roundtable meeting notes
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 | Related Public Reports (5)
1. 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
2. FR12/2019 Thematic Review on Suitability Requirements with respect to the Distribution of Complex Financial Products, Report of the Board of IOSCO
  26 Sep 2019 - View Report
3. FR05/2019 The Application of Behavioral Insights to Retail Investor Protection, Report of the Board of IOSCO
  02 Apr 2019 - View Report
4. FR17/2018 Report on Retail OTC Leveraged Products, Report of the Board of IOSCO
  19 Sep 2018 - View Report
5. 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
CR01/2022 Operational resilience of trading venues and market intermediaries during the COVID-19 pandemic, Report of the Board of IOSCO
Comments on the report should be submitted by 14 March 2022
13 Jan 2022 - View Report
FR01/2022 IOSCO Investment Funds Statistics Report, Report of the Board of IOSCO
04 Jan 2022 - View Report | Related Public Reports (6)
1. FR05/2020 Report on the Fifth IOSCO Hedge Funds Survey, Report of the Board of IOSCO
  15 Apr 2020 - View Report
2. FR18/2019 Recommendations for a Framework Assessing Leverage in Investment Funds, Report of the Board of IOSCO
  13 Dec 2019 - 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
4. FR22/2017 Report on the Fourth IOSCO Hedge Funds Survey, Report of the Board of IOSCO
  23 Nov 2017 - View Report
5. FR27/2015 Report on the third IOSCO Hedge Fund Survey, Report of the Board of IOSCO
  11 Dec 2015 - View Report
6. Report On the Second IOSCO Hedge Fund Survey, Report of the Board of IOSCO
  20 Oct 2013 - View Report
CR07/2021 The Use of Innovation Facilitators in Growth and Emerging Markets, Report of the IOSCO Growth and Emerging Market Committee
Deadline for Comments Extended Until 20 February
07 Dec 2021 - View Report
CR06/2021 A discussion paper on client clearing: access and portability, Committee on Payments and Market Infrastructures and the Board of IOSCO
Deadline for Comments Extended Until 7 February
29 Nov 2021 - View Report
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 | Related Public Reports (4)
1. 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
2. CR02/21 Environmental, Social and Governance (ESG) Ratings and Data Products Providers, Report of the Board of IOSCO
  26 Jul 2021 - View Report
3. CR01/21 Recommendations on Sustainability-Related Practices, Policies, Procedures and Disclosure in Asset Management, Report of the Board of IOSCO
  Comments on the report should be submitted by 15 August 2021
  30 Jun 2021 - View Report
4. FR04/21 Report on Sustainability-related Issuer Disclosures, Report of the Board of IOSCO
  28 Jun 2021 - View Report
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 | Related Public Reports (6)
1. 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
2. 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
3. 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
4. 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
5. 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 | Download files in zip format
6. 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
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 | Related Public Reports (2)
1. 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
2. CR01/21 Recommendations on Sustainability-Related Practices, Policies, Procedures and Disclosure in Asset Management, Report of the Board of IOSCO
  Comments on the report should be submitted by 15 August 2021
  30 Jun 2021 - View Report
FR07/2021 Principles on Outsourcing, Report of the Board of IOSCO
27 Oct 2021 - View Report | View comments received | Related Public Reports (3)
1. CR01/2020 Principles on Outsourcing, Report of the Board of IOSCO
  Comments on the report should be submitted by 1 October 2020
  28 May 2020 - View Report
2. Principles on Outsourcing by Markets, Report of the Technical Committee of IOSCO
  13 Jul 2009 - View Report
3. Principles On Outsourcing Of Financial Services For Market Intermediaries, Report of the Technical Committee of IOSCO
  Feb 2005 - View Report
CR04/2021 Review of margining practices, Report of The Basel Committee on Banking Supervision (BCBS), The Committee on Payments and Market Infrastructures and Board of IOSCO
Deadline for Comments Extended Until 26 January
26 Oct 2021 - View Report | View comments received
CR03/2021 Application of the Principles for Financial Market Infrastructures to stablecoin arrangements, Committee on Payments and Market Infrastructures and the Board of IOSCO
Deadline for Comments Extended Until 1 December
06 Oct 2021 - View Report | View comments received
Statement on Credit Sensitive Rates
08 Sep 2021 - View Report | Related Public Reports (10)
1. FR07/2017 IOSCO Task Force Report on Wholesale Market Conduct, Report of the Board of IOSCO
  13 Jun 2017 - View Report
2. FR01/2017 Second Review of the Implementation of IOSCO's Principles for Financial Benchmarks in respect of the WM/Reuters 4 p.m. Closing Spot Rate, Report of the Board of IOSCO
  07 Feb 2017 - View Report
3. FR13/2016 Report on Guidance on the IOSCO Principles for Financial Benchmarks, Report of the Board of IOSCO
  16 Dec 2016 - View Report
4. OR02/2015 Review of the Implementation of IOSCO's Principles for Financial Benchmarks, Report of the Board of IOSCO
  25 Feb 2015 - View Report
5. 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
6. 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
7. PC/01/2013 Implementation of the Principles for Financial Benchmarks, Report of IOSCO
  30 Oct 2013 - View Report
8. FR07/13 Principles for Financial Benchmarks, Report of the Board of IOSCO
  17 Jul 2013 - View Report
9. 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
10. 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
FR06/2021 The use of artificial intelligence and machine learning by market intermediaries and asset managers, Report of the Board of IOSCO
07 Sep 2021 - View Report