Public Reports

BCBS/IOSCO statement on the final implementation phases of the Margin requirements for non-centrally cleared derivatives, Report of the Basel Committee on Banking Supervision and the Board of IOSCO
05 Mar 2019 - View Report
FR04/2019 IOSCO Standards Implementation Monitoring (ISIM) on Secondary and Other Market Principles, Report of the Board of IOSCO
12 Feb 2019 - View Report | Related Public Reports (2)
1. Methodology for Assessing Implementation of the IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
  31 May 2017 - View Report
2. IOSCO Objectives and Principles of Securities Regulation, Report of IOSCO
  31 May 2017 - View Report
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
CR01/2019 Sustainable finance in emerging markets and the role of securities regulators, Report of the Board of IOSCO
Comments on the report should be submitted by 1 April 2019
01 Feb 2019 - View Report
FR02/2019 Implementation monitoring of PFMI: Assessment report for Switzerland, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
30 Jan 2019 - View Report
Statement on Disclosure of ESG Matters by Issuers, Statement of the Board of IOSCO
18 Jan 2019 - View Report
FR01/2019 IOSCO Report on Good Practices for Audit Committees in Supporting Audit Quality, Report of the Board of IOSCO
17 Jan 2019 - View Report | View comments received | Related Public Reports (2)
1. CR04/2018 IOSCO Consultation Report on Good Practices for Audit Committees in Supporting Audit Quality, Report of the Board of IOSCO
  Comments on this consultation paper should be submitted by 24 July 2018
  24 Apr 2018 - View Report
2. FR04/2016 Survey Report on Audit Committee Oversight of Auditors, Report of the Board of IOSCO
  31 May 2016 - View Report
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 | Related Public Reports (3)
1. 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
2. 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
3. FR07/11 Principles for the Regulation and Supervision of Commodity Derivatives Markets, Report of the Technical Committee of IOSCO
  15 Sep 2011 - View Report
FR18/2018 Incentives to centrally clear over-the-counter (OTC) derivatives: A post-implementation evaluation of the effects of the G20 financial regulatory reforms, Report of The Financial Stability Board, the Committee on Payments and Market Infrastructures, IOSCO and the Basel Committee on Banking Supervision (BCBS)
19 Nov 2018 - View Report
CR08/2018 IOSCO Report: Leverage, Report of the Board of IOSCO
Comments on the report should be submitted by 1 February 2019
14 Nov 2018 - View Report | View comments received
Statement on Concerns Related to Binary Options, Statement of the Board of IOSCO
19 Sep 2018 - View Report
FR17/2018 Report on Retail OTC Leveraged Products, Report of the Board of IOSCO
19 Sep 2018 - View Report
FR16/2018 Conflicts of interest and associated conduct risks during the equity capital raising process, Report of the Board of IOSCO
18 Sep 2018 - View Report | Related Public Reports (2)
1. Report on Analyst Conflict of Interest, Report of the Technical Committee of IOSCO
  Sep 2003 - View Report
2. IOSCO Statement Of Principles For Addressing Sell-Side Securities Analyst Conflicts Of Interest, Report of the Technical Committee of IOSCO
  Sep 2003 - View Report
CR07/2018 Governance arrangements for critical OTC derivatives data elements (other than UTI and UPI), Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
Comments and responses to general and specific questions are solicited by 27 September 2018 and should be sent to the secretariats of both the CPMI (cpmi@bis.org) and IOSCO (cde@iosco.org) using the dedicated form. The submitted form with comments will be published on the websites of the BIS and IOSCO unless respondents specifically request otherwise.
16 Aug 2018 - View Report | Response Form | Related Public Reports (3)
1. FR06/2018 Harmonisation of critical OTC derivatives data elements (other than UTI and UPI), Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
  09 Apr 2018 - View Report
2. FR17/2017 Technical Guidance - Harmonisation of the Unique Product Identifier, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
  28 Sep 2017 - View Report
3. 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
FR15/2018 Analysis of Central Clearing Interdependencies, Report of The Financial Stability Board, the Committee on Payments and Market Infrastructures, IOSCO and the Basel Committee on Banking Supervision (BCBS)
09 Aug 2018 - View Report | Related Public Reports (3)
1. CR06/2018 Incentives to centrally clear over-the-counter (OTC) derivatives: A post-implementation evaluation of the effects of the G20 financial regulatory reforms, Report of The Financial Stability Board, the Committee on Payments and Market Infrastructures, IOSCO and the Basel Committee on Banking Supervision (BCBS)
  07 Aug 2018 - View Report
2. 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
3. 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
CR06/2018 Incentives to centrally clear over-the-counter (OTC) derivatives: A post-implementation evaluation of the effects of the G20 financial regulatory reforms, Report of The Financial Stability Board, the Committee on Payments and Market Infrastructures, IOSCO and the Basel Committee on Banking Supervision (BCBS)
07 Aug 2018 - View Report
FR14/2018 Implementation monitoring of PFMI: Level 2 assessment report for Canada, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
02 Aug 2018 - View Report
FR13/2018 Mechanisms Used by Trading Venues to Manage Extreme Volatility and Preserve Orderly Trading, Report of the Board of IOSCO
01 Aug 2018 - View Report | View comments received | Related Public Reports (1)
1. CR03/2018 Mechanisms Used by Trading Venues to Manage Extreme Volatility and Preserve Orderly Trading, Report of the Board of IOSCO
  Comments on this consultation paper should be submitted by 6 May 2018
  07 Mar 2018 - View Report
FR12/2018 World Investor Week 2017, Report of IOSCO Committee 8 on Retail Investors
24 Jul 2018 - View Report
FR11/2018 Implementation monitoring of PFMI: Fifth update to Level 1 assessment report, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
23 Jul 2018 - View Report | Related Public Reports (1)
1. 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