Public Reports

FR07/2018 Framework for supervisory stress testing of central counterparties (CCPs), Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
10 Apr 2018 - View Report | Related Public Reports (1)
1. 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 | View comments received
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
FR05/2018 Regulatory Reporting and Public Transparency in the Secondary Corporate Bond Markets, Report of the Board of IOSCO
05 Apr 2018 - View Report | View comments received | Related Public Reports (1)
1. 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
FR04/2018 Country Review: Islamic Republic of Pakistan, IOSCO Objectives and Principles of Securities Regulation, Follow-up Report on Assessment of Implementation, Report of the Board of IOSCO
28 Mar 2018 - View Report | Related Public Reports (1)
1. FR13/2015 Country Review of SEC Pakistan’s implementation of IOSCO Objectives and Principles of Securities Regulation, Report of the Board of IOSCO
  28 Jul 2015 - View Report
FR03/2018 Senior Investor Vulnerability, Report of the Board of IOSCO
08 Mar 2018 - View Report | Related Public Reports (2)
1. FR21/2015 Sound Practices for Investment Risk Education, Report of the Board of IOSCO
  15 Sep 2015 - Available languages: English, French, Russian, Spanish
2. 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
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
CR02/2018 Conflicts of interest and associated conduct risks during the equity capital raising process, Report of the Board of IOSCO
Comments on this consultation paper should be submitted by 4 April 2018
21 Feb 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
CR01/2018 Report on Retail OTC Leveraged Products, Report of the Board of IOSCO
Comments on this consultation paper should be submitted by 27 March 2018
13 Feb 2018 - View Report | Related Public Reports (1)
1. FR14/2016 Report on the IOSCO Survey on Retail OTC Leveraged Products, Report of the Board of IOSCO
  21 Dec 2016 - View Report
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 | Related Public Reports (6)
1. FR01/2018 Recommendations for Liquidity Risk Management for Collective Investment Schemes, Report of the Board of IOSCO
  01 Feb 2018 - View Report
2. CR05/2017 Open-ended Fund Liquidity and Risk Management – Good Practices and Issues for Consideration, Report of the Board of IOSCO
  Consultation Document - Comments received on the consultation report posted here on 3 October 2017
  06 Jul 2017 - View Report | View comments received
3. CR04/2017 Consultation on CIS Liquidity Risk Management Recommendations, Report of the Board of IOSCO
  Consultation Document - Comments received on the consultation report posted here on 3 October 2017
  06 Jul 2017 - View Report | View comments received
4. FR28/2015 Liquidity Management Tools in Collective Investment Schemes: Results from an IOSCO Committee 5 survey to members, Report of the Board of IOSCO
  17 Dec 2015 - View Report
5. 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
6. FR02/12 Principles on Suspensions of Redemptions in Collective Investment Schemes, Report of the Technical Committee of IOSCO
  19 Jan 2012 - View Report | Download files in zip format
FR01/2018 Recommendations for Liquidity Risk Management for Collective Investment Schemes, Report of the Board of IOSCO
01 Feb 2018 - View Report | Related Public Reports (5)
1. 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
2. CR04/2017 Consultation on CIS Liquidity Risk Management Recommendations, Report of the Board of IOSCO
  Consultation Document - Comments received on the consultation report posted here on 3 October 2017
  06 Jul 2017 - View Report | View comments received
3. FR28/2015 Liquidity Management Tools in Collective Investment Schemes: Results from an IOSCO Committee 5 survey to members, Report of the Board of IOSCO
  17 Dec 2015 - View Report
4. 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
5. FR02/12 Principles on Suspensions of Redemptions in Collective Investment Schemes, Report of the Technical Committee of IOSCO
  19 Jan 2012 - View Report | Download files in zip format
Statement on Matters to Consider in the Use of Financial Benchmarks, Statement of the Board of IOSCO
05 Jan 2018 - View Report
FR23/2017 IOSCO Report on Good Practices for the Termination of Investment Funds, Report of the Board of IOSCO
23 Nov 2017 - View Report
FR22/2017 Report on the Fourth IOSCO Hedge Funds Survey, Report of the Board of IOSCO
23 Nov 2017 - View Report
Strengthening the Governance and Oversight of the International Audit-related Standard-setting Boards in the Public Interest, The Monitoring Group
Comments on this consultation paper should be submitted by 9 February 2018
09 Nov 2017 - View Report | View comments received
FR21/2017 Implementation Report: G20/FSB Recommendations related to Securities Markets, Report of the Board of IOSCO
08 Nov 2017 - View Report | Related Public Reports (1)
1. FR11/2016 Implementation Report: G20/FSB Recommendations related to Securities Markets, Report of the Board of IOSCO
  28 Oct 2016 - View Report
FR20/2017 Update to the IOSCO Peer Review of Implementation of Incentive Alignment Recommendations for Securitisation, Report of the Board of IOSCO
03 Nov 2017 - View Report | Related Public Reports (1)
1. FR20/2015 Peer Review of Implementation of Incentive Alignment Recommendations for Securitisation: Final Report, Report of the Board of IOSCO
  03 Sep 2015 - View Report
FR19/2017 Update to the IOSCO Peer Review of Regulation of Money Market Funds, Report of the Board of IOSCO
03 Nov 2017 - View Report | Related Public Reports (1)
1. FR19/2015 Peer Review of Regulation of Money Market Funds: Final Report, Report of the Board of IOSCO
  02 Sep 2015 - View Report
FR18/2017 Other CRA Products, Report of the Board of IOSCO
10 Oct 2017 - View Report
Statement on the ISDA Credit Derivatives Determinations Committees and CDS auction processes, Statement of the Board of IOSCO
10 Oct 2017 - View Report
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 | Related Public Reports (3)
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. CR03/2016 Harmonisation of the Unique Product Identifier (UPI) Second consultative report issued by CPMI-IOSCO, Report of the Committee on Payments and Market Infrastructures and the Board of IOSCO
  18 Aug 2016 - View Report | 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