All posts tagged "securities regulators"
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152InternationalIOSCO Finds Gaps in BCP Rules for Trading Venues, Intermediaries
Some jurisdictions have regulatory requirements for critical systems of trading venues that do not extend to outsourced functions.
May 8, 2021 -
230ChinaChina Government Probes Ant Group IPO Approval Process
Ant Group founder Jack Ma and his relationships with state firms and local officials are also being examined as part of the government’s investigation.
April 29, 2021 -
946Big Picture
IOSCO Issues Recommendations to Develop Emerging Capital Markets
IOSCO outlines the main challenges emerging markets face when developing their capital markets, also exploring opportunities offered by sustainable finance and fintech.
November 5, 2020 -
836FeatureIOSCO Forms Task Force to Address Sustainable Finance Issues
The Task Force will work on sustainability and ESG disclosure challenges for investors, including to enhance transparency and address investor protection issues.
April 15, 2020 -
986EuropeIOSCO Members, ESMA Can Exchange Information Post-GDPR
A decision by the European Data Protection Board will enable the continued sharing of information between ESMA and securities regulators outside the EU, in compliance with GDPR.
February 15, 2019 -
586International
Implementation of Secondary Market Principles “Generally High” – IOSCO
IOSCO has identified some gaps in the implementation of its 'Secondary and Other Market Principles', particularly in nascent and emerging market jurisdictions.
February 13, 2019 -
AML / KYC
IOSCO Enhances Cross-Border Enforcement Cooperation
New powers enable members to share and obtain audit work, internet records and phone records.
April 3, 2017
