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IOSCOPD154 - Principles of Financial Markets

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Eric Manuel

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Part I - Introduction and Statement of Objectives and Principles
3. Structure of the Document
4. Objectives of Securities Regulation
4.1. Objectives of Securities Regulation
• The protection of investors;
4.2. Discussion of the Objectives
4.2.1. The Protection of Investors
4.2.2. Ensuring that Markets are Fair, Efficient, and Transparent
4.2.3. The Reduction of Systemic Risk
5. The Regulatory Environment
Part II - The Regulator
6.1. Principles Relating to the Regulator
6.2. Clear Responsibility12
6.3. Independence and Accountability
6.4. Adequate Powers and Proper Resources
6.5. Clear and Consistent Regulatory Processes
6.6. The Conduct of Staff
7.1. Principles for Self-Regulation
7.2. The Role of SROs
7.3. Authorization and Oversight
8. Enforcement of Securities Regulation
8.1. Principles for the Enforcement of Securities Regulation
8.2. Inspection and Compliance Programs20
8.3. Comprehensive Enforcement Powers23
8.4. International Enforcement
8.5. Money Laundering27
9. Cooperation in Regulation
9.1. Principles for Cooperation in Regulation
9.2. The Need for Domestic Cooperation28
9.3. The Need for International Cooperation
9.4. The Scope of Cooperation
9.5. Cooperation on Financial Conglomerates35
Part III - Issuers, Market Intermediaries, and Secondary Markets
10. Issuers38
10.1. Principles for Issuers
10.2. The Scope of this Section and the Need to Regulate Issuers
10.3. Timely Disclosure of Information
10.4. When Disclosure is Required
10.5. Information About Corporate Control
10.6. Accounting and Auditing Standards
11. Collective Investment Schemes48
11.1. Principles for Collective Investment Schemes
11.2. Scope of this Section
11.3. Eligibility to Act as an Operator
11.4. Supervision of Conduct, Conflicts of Interest and Delegation
11.5. Legal Form and Structure53
11.6. Disclosure to be Made to Investors
11.7. Client Asset Protection59
11.8. Asset Valuation and Pricing
11.9. Redemption of Interest in a Scheme
11.10. International Regulatory Cooperation63
12. Market Intermediaries
12.1. Principles for Market Intermediaries
12.2. Scope of this Section
12.3. Licensing and Supervision
12.4. Capital Adequacy69
12.5. The Conduct of Business Rules and Other Prudential Requirements72
12.6. Action in the Event of Financial Failure of an Intermediary77
12.7. Supervision of Intermediaries
12.8. Investment Advisers
13.1. Principles for the Secondary Market
13.2. Scope of this Section
13.3. Securities Exchanges and Trading Systems
13.5. Transparency of Trading85
13.6. Prohibition of Manipulation and Other Unfair Trading Practices
13.7. Large Exposures, Default Procedures and Market Disruptions90
13.8. Clearing and Settlement91
13.9. Regulation and Standards for Clearing and Settlement Systems92
13.10. Verification of Trades in Clearing and Settlement Systems
13.11.1. Margining94
13.11.2. Netting
13.11.3. Short Selling and Securities Lending

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Category:	Uncategorized.
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Upload Date:	11/22/2010
Copyright:	Attribution Non-commercial
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