All posts tagged "securities regulators"
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154FeatureIOSCO Proposes Sustainability-related Rules for Fund Managers
Recommendations for securities regulators cover asset manager practices, product disclosure, supervision and enforcement, terminology, and investor education.
July 2, 2021 -
383Feature
ISSB Climate Reporting Standard Could be Ready by July 2022
IOSCO publishes indicative timeline for development of global climate reporting standard, sets sights on ESG data and ratings providers.
June 29, 2021 -
279International
IOSCO 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 -
299ChinaChina 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 -
967Big 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 -
870FeatureIOSCO 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 -
1.0KEuropeIOSCO 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 -
612International
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
