The International Organization of Securities Commissions (IOSCO)

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Yale University EliScholar – A Digital Platform for Scholarly Publishing at Yale YPFS Documents (Series 1) Browse by Media Type 2019 IOSCO Objectives and Principles of Securities Regulation and the IOSCO Assessment Methodology The International Organization of Securities Commissions (IOSCO) Follow this and additional works at: https://elischolar.library.yale.edu/ypfs-documents Recommended Citation The International Organization of Securities Commissions (IOSCO), "IOSCO Objectives and Principles of Securities Regulation and the IOSCO Assessment Methodology" (2019). YPFS Documents (Series 1). 8894. https://elischolar.library.yale.edu/ypfs-documents/8894 This Document is brought to you for free and open access by the Browse by Media Type at EliScholar – A Digital Platform for Scholarly Publishing at Yale. It has been accepted for inclusion in YPFS Documents (Series 1) by an authorized administrator of EliScholar – A Digital Platform for Scholarly Publishing at Yale. For more information, please contact elischolar@yale.edu. About IOSCOWho We AreAnnual Report 2019Terms and ConditionsCopyright and PermissionsDisclaimersAssessment CommitteeWhat is AC and what doesit do?Bene ts of Participation inAC's ProgramsScope of AC's ProgramsProcessesEvaluationsRoad MapsPresentations made by ACMembersMeetingsDocumentsIOSCO TaxonomyIOSCO TaxonomyCapacity Building for Self-AssessmentsCapacity BuildingMaterialsIOSCO Objectives andPrinciples of SecuritiesRegulation and theIOSCO AssessmentMethodologyITF Sub-CommitteeMandate of ITF SCResponsibilities of ITF SCActivities of ITF SCMembersMeetingsDocumentsRelated LinksE-methodologyContact AssessmentCommittee / ITF SCIOSCO Objectives and Principles of Securities Regulation and the IOSCOAssessment MethodologyThe IOSCO Objectives and Principles of Securities Regulation sets out 38 Principles of securities regulation, which are baupon three Objectives of securities regulation. These are:protecting investors;ensuring that markets are fair, e cient and transparent;reducing systemic risk.The IOSCO Assessment Methodology is designed to provide IOSCO's interpretation of its Objectives and PrinciplesSecurities Regulation ("Principles") and give guidance on the conduct of a self-assessment or third-party assessment of level of Principles implementation.Home | Annual Report 2019 | Brexit Preparedness ContactINTERNATIONAL ORGANIZATION OF SECURITIES COMMISSIONSkeyword searchMembers AreaIOSCO Asia Paci c HubForumsIFRS DatabaseCapacity Building Online Toolkit   ABOUT IOSCO MEDIA ROOM PUBLICATIONS INVESTOR PROTECTION TRAINING EVENTS RESEARCHBecoming a MemberCareersContact UsCopyright © OICV-IOSCO 2020 All rights reservedFollow Us            

IOSCO Objectives and Principles of Securities Regulation and the IOSCO Assessment Methodology

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IOSCO Objectives and Principles of Securities Regulation and the IOSCO Assessment Methodology

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