International Organization of Securities Commissions

Conduct, Culture & Accountability

IOSCO Offers Guidance on Reducing Conflicts in Debt Capital Raising

By Editors | 18/12/2019

The guidance includes proposed regulatory measures to address potential conflicts of interest and associated conduct risks that could arise in the debt capital raising process.

Emerging Prudential Risks

IOSCO Unveils Framework for Monitoring Leverage-related Risks in Funds

By Editors | 16/12/2019

IOSCO has developed a framework for monitoring leverage across all types of investment funds globally, to help regulators assess leverage-related risks that can undermine financial stability.

Clearing & Post-Trade

LSEG to Provide Post Trade Technology for Philippine Bourse

By Editors | 12/12/2019

The Securities Clearing Corporation of the Philippines will use LSEG technology to enhance its clearing, settlement, risk and collateral management capabilities.

Structural Regulation

CPMI, IOSCO Share Lessons of Supervisory Cooperation on Market Infrastructures

By Editors | 12/12/2019

Among the key features of successful cooperative arrangements are strong, trusted relationships between authorities and a willingness to exchange information.

Cryptocurrency

SFC Unveils Regulatory Framework for Crypto Exchanges

By Manesh Samtani | 07/11/2019

Under the new framework, announced at Hong Kong Fintech Week, platform operators that offer trading in virtual assets classified as securities may seek Type 1 and Type 7 licences from the SFC.

Structural Regulation

A Liquid Global Swaps Market Relies on Deference: CFTC’s Quintenz

By Manesh Samtani | 29/10/2019

Market fragmentation poses serious risks to the liquidity and health of the derivatives markets, said CFTC commissioner Brian Quintenz at the ISDA Annual Japan Conference.

Cybersecurity

Effective Governance, Regulation Can Mitigate Cyber Risk: Moody’s

By Manesh Samtani | 25/10/2019

Regulators can help to mitigate the cyber threat by promoting contingency planning in banking and enabling information sharing among banks and regulators.

Clearing & Post-Trade

FSB Reports on OTC Derivatives Reform Progress

By Editors | 16/10/2019

Comprehensive trade reporting requirements are in force in 23 of 24 FSB member jurisdictions, and authorities are increasingly making use of trade repository data.

Market Data & Technology

Governance of OTC Derivatives Data Elements Finalised

By Editors | 10/10/2019

The FSB has now published the final governance arrangements for both the UTI and UPI, while CPMI-IOSCO has published the same for the other critical data elements.