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Conduct, Culture & Accountability
IOSCO Publishes Guidance on Debt Raising Conflicts of Interest
By Editors | 21/09/2020
The final guidance presents nine measures that address potential conflicts of interest and associated conduct risks when issuers are preparing to raise debt finance.
Reporting & Disclosures
Standard-setters Kick Off Initiative to Harmonise Sustainability Reporting
By Editors | 13/09/2020
The IFRS Foundation is proposed as the body that is “optimally positioned” to lead and coordinate the creation of a new sustainability standards board.
Reporting & Disclosures
IOSCO to Harmonise Global ESG Disclosure Frameworks – Report
By Editors | 10/09/2020
A new IOSCO taskforce will work to identify commonalities across sustainability disclosure standards from across the world to develop principles-based guidelines.
Market Risk
RBI Issues Draft Rules on Variation Margin Exchange
By Manesh Samtani | 08/09/2020
The rules are applicable to India-regulated financial firms, IFSC banking units, and FPIs with non-cleared derivatives exceeding 500bn rupees.
Structural Regulation
ISDA Calls for Global Alignment in UPI, UTI Implementation
By Manesh Samtani | 25/08/2020
ISDA is urging the FSB to “intensify monitoring and coordination of jurisdictional alignment” to the global UTI, UPI and CDE recommendations.
Trading & Investment
IOSCO Outlines Key Elements of Effective Market Making Programmes
By Editors | 11/08/2020
The key elements may help promote the provision of liquidity, strengthen investor confidence, and foster fair and efficient markets, IOSCO says.
Structural Regulation
Trade Bodies Jointly Commit to Tackling Market Inefficiencies
By Manesh Samtani | 30/07/2020
The inefficiencies result from a prevalence of customised, paper-based legal documentation, a lack of data standards, and inconsistent reporting requirements.
Structural Regulation
IOSCO Offers Guidance to Promote Deference Between Regulators
By Editors | 28/06/2020
IOSCO offers 11 good practices to help regulators establish and operate efficient deference processes, and mitigate the risk of market fragmentation.
Clearing & Post-Trade
CPMI-IOSCO Describes Work Needed to Improve CCP Auctions
By Editors | 27/06/2020
CPMI and IOSCO have asked CCPs to address a number of issues related to default management auctions within 24 months.
AI Risk & Governance
IOSCO Drafts Guidance on Supervising AI/ML in Financial Markets
By Editors | 25/06/2020
IOSCO proposes six measures to assist members in creating appropriate regulatory frameworks to supervise market intermediaries and asset managers that use AI and ML.
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