IOSCO

News & Analysis as of

The Financial Report - Volume 5, No. 1 January 2016 (Global)

Discussion and Analysis Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, announced in FINRA’s 11th annual Regulatory and Examination Priorities Letter, published earlier this week, that...more

CPMI and IOSCO consult on harmonising UPI

BIS’ Committee on Payments and Market Infrastructure (CPMI) and IOSCO are consulting on a harmonised global unique product identifier (UPI). The UPI will uniquely identify OTC derivatives products that authorities require to...more

IOSCO reports on third hedge fund survey

IOSCO has reported on the findings of its third hedge fund survey. The survey gathered data from hedge fund managers and advisers about the markets in which they operate, their trading activities, leverage, funding and...more

IOSCO reports on creditworthiness assessments

IOSCO has published its report on sound practices at large intermediaries in assessing creditworthiness and the use of external credit ratings. It recommends 12 sound practices that regulators could consider as part of their...more

IOSCO publishes CIS liquidity management report

IOSCO has published its report on how collective investment schemes (CIS) manage their liquidity risk. It found that: - most jurisdictions clearly distinguish open-ended schemes from closed-ended ones, and some tools are...more

IOSCO addresses regulation of crowdfunding

IOSCO has published a statement on addressing the regulation of crowdfunding alongside the Crowdfunding 2015 Survey Responses Report. IOSCO seeks to raise awareness concerning some of the major risks investors face when...more

IOSCO reports on continuity plans for trading venues

IOSCO has published its reports on business continuity plans for trading venues and intermediaries. The reports make recommendations to help manage identified risks effectively by requiring trading venues and intermediaries...more

BIS reports on application of PFMI responsibilities

BIS’ Committee on Payments and Market Infrastructures (CPMI) and IOSCO have reported on the completeness and consistency of frameworks and outcomes arising from jurisdictions’ implementation of the responsibilities for...more

BIS and IOSCO consult on cyber resilience

BIS’ CPMI and IOSCO are consulting on principles for cyber resilience for FMIs. The guidance includes: - stressing the importance of board and senior management attention to a successful cyber resilience strategy...more

IOSCO publishes harmonisation responses

IOSCO has released the responses to its consultations on harmonisation of key OTC derivatives data elements and harmonisation of the unique transaction identifier (UTI) (see FReD 4 September and FReD 21 August respectively). ...more

IOSCO reports on standards for the custody of CIS assets

IOSCO has published its final report on standards for the custody of collective investment schemes’ assets (CIS assets). It seeks to clarify, modernise and further develop standards for the custody of CIS assets consistent...more

Prudential Regulators Release Final Margin Rules for Swaps

On October 22, 2015, the Federal Deposit Insurance Corporation held an open meeting at which it voted to adopt: (i) final rules governing margin and capital requirements for uncleared swaps and (ii) an interim final rule to...more

IOSCO publishes fees and expenses comments

IOSCO has published the comments it received on its consultation on international standards on fees and expenses of investment funds (see FReD 3 July). The consultation looked at whether the existing set of common...more

IOSCO reinforces position in markets regulation

IOSCO has reinforced its position as the key global reference point for financial services and markets regulation at its meeting in Toronto. The meeting focused on the following activities:...more

FSB discusses ongoing workplan progress

FSB has met to discuss progress in its ongoing workplan. Its key priorities include: - market liquidity and asset management: encouraging the appropriate stress testing by funds to assess their ability to meet...more

Asset Management Industry: Financial Stability Update, Fall 2015

As U.S. and global regulators continue to evaluate the potential impact, if any, of the asset management industry and its products and activities on financial stability, the regulatory standards that will ultimately be...more

Global Regulators Evolve on Money Manager Systemic Risks

The Board of the International Organization of Securities Commissions (IOSCO) in June made an important recommendation concerning any risks that investment funds and advisors present to the global financial system....more

Committees publish progress report on enhancing CCP resilience

FSB, the Basel Committee, the Committee on Payments and Markets Infrastructures (CPMI) and IOSCO have together published a progress report on their work to enhance the resilience, recovery planning and resolvability of...more

IOSCO reports on cross-border regulation

IOSCO’s task force has reported on cross-border regulation. A range of stakeholders, regulators, policymakers, and supranational institutions responded to the task force. IOSCO will now consider: - how to be more...more

Blockchain technology identified as capital market disruptor

IOSCO Chairman Greg Medcraft has discussed digital disruption in capital markets in a speech at Carnegie Mellon University. He identifies blockchain technology, the algorithm behind bitcoin, as having the potential to...more

Orrick's Financial Industry Week in Review

CFTC Announces Proposal to Amend the Definition of "Material Terms" - On September 10, the U.S. Commodity Futures Trading Commission Division announced that it will publish in the Federal Register a proposed amendment to...more

IOSCO Publishes Final Report on Cross-Border Regulation

The International Organization of Securities Commissions (IOSCO) Task Force on cross-border regulation has this week published its final report. Following a period of consultation launched in November 2014, the report...more

The Financial Report - Volume 14, No. 18 - September 2015 (Global)

Casino games are designed with a house advantage. Mathematically, the house advantage is a measure of how much the house expects to win, expressed as a percentage of the player’s wager. The house advantage is the difference...more

IOSCO publishes incentive alignment recommendations report

IOSCO has published its final report on the peer review of implementation of Incentive Alignment Recommendations for securitisation. The review finds that there has been significant but mixed progress in implementing the...more

Orrick's Financial Industry Week in Review

Potential Damages in RMBS Suit Against WMC Mortgage Drastically Reduced - On August 18, Judge Denise Cote of the federal district court for the Southern District of New York addressed the appropriate measure of potential...more

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