Transcription of Methodology for Assessing Implementation of the IOSCO ...
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Methodology for Assessing Implementation of the IOSCO ...
Methodology For Assessing Implementation of the IOSCO Objectives and principles of Securities Regulation INTERNATIONAL ORGANIZATION OF SECURITIES COMMISSIONS. MAY 2017. Copies of publications are available from: The International Organization of Securities Commissions website International Organization of Securities Commissions 2017. All rights reserved. Brief excerpts may be reproduced or translated provided the source is stated. ii TABLE OF CONTENTS BOOK I 1. A. principles Relating to the Regulator .. 5. B. principles for 5. C. principles for the Enforcement of Securities Regulation .. 5. D. principles for Cooperation in 5. E. principles for Issuers .. 6. F. principles for Auditors, Credit Rating Agencies, and Other Information Service Providers .. 6. G. principles for Collective Investment 6. H. principles for Market Intermediaries .. 6. I. principles for Secondary and Other Markets.
Methodology for Assessing Implementation of the IOSCO Objectives and Principles of Securities Regulation(“Methodology”) is designed to provide IOSCO’s interpretation of
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