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Documents by Author

International Organization of Securities Commissions (IOSCO)

Framework for Supervisory Information About Derivatives and Trading Activities
International Organization of Securities Commissions and Basle Committee for Banking Supervision, Sept. 1998

Causes, Effects And Regulatory Implications Of Financial and Economic Turbulence in Emerging Markets
Sept 1998 The Emerging Markets Committee of the International Organisation of Securities Commissions

International Disclosure Standards for Cross-Border Offerings and Initial Listings by Foreign Issuers
September 1998, International Organization Of Securities Commissions

Objectives and Principles of Securities Regulation
September 1998, International Organization of Securities Commissions

Methodologies for Determining Capital Standards for Internationally Active Securities Firms
May 1998, A Report by the Technical Committee of the International Organization of Securities Commissions

Risk Management and Control Guidance for Securities Firms and their Supervisors
(CONSULTATIVE DOCUMENTS)

March 1998, International Organisation of Securities Commissions

Towards a Legal Framework for Clearing and Settlement in Emerging Markets
November1997, Emerging Markets of the International Organization of Securities Commissions

Principles for the Supervision of Operators of Collective Investment Schemes
September1997, Technical Committee of the International Organization of Securities Commissions

Disclosure of RiskA Discussion Paper
September 1996, Report of the Technical Committee of IOSCO

Reporting of Material Events in Emerging Markets
September 1996, Report of the Emerging Markets Committee of IOSCO

Final Report from the Co-Chairmen of the May 1995 Windsor Meeting to the Technical Committee of IOSCO
August 1996, SIB/CFTC

International Equity Offers: Changes in Regulation since April, 1994
September 1996, Annual Survey Report of IOSCO Working Party No.1

Client Asset Protection
August 1996, Report of the Technical Committee of IOSCO

Measures Available on A Cross Border Basis to Protect Interests and Assets Of Defrauded Investors
July 1996, Technical Committee of the International Organization of Securities Commissions

Discussion Paper on International Co-operation in Relation to Cross-Border Activity of Collective Investment Schemes
June 1996, Report of the Technical Committee of IOSCO No. 38

Legal and Regulatory Framework for Exchange-Traded Derivatives
June 1996, Report of the Emerging Markets Committee of IOSCO

Regulatory Cooperation in Emergencies (A Discussion Paper)
June 1996, Technical Committee of the International Organization of Securities Commissions

Report on Cooperation Between Market Authorities and Default Procedures
Report of the Technical Committee of IOSCO No. 35

Report on Margin
Report of the Technical Committee of IOSCO No. 36

The Implications for Securities Regulators of the Increased Use of Value at Risk Models by Securities Firms
July 1995

Report on Investment Management
October 1994, Report of the Technical Committee of IOSCO No. 27

Issues in the Regulation of Cross-Border Proprietary Screen-Based Trading Systems
October 1994, Report of the Technical Committee of IOSCO No. 28

Report On Issues Raised For Securities And Futures Regulators By Under-Regulated And Uncooperative Jurisdictions
October 1994, Technical Committee of the International Organization Of Securities Commissions

Operational and Financial Risk Management Control Mechanisms for Over-the-Counter Derivatives Activities of Regulated Securities Firms
July 1994

Regulation of Derivative Markets, Products and Financial Intermediaries
October 1993, Report of the Technical Committee of IOSCO

Mechanisms to Enhance Open and Timely Communication Between Market Authorities of Related Cash and Derivative Markets During Periods of Market Disruption
October 1993, Report of the Technical Committee of IOSCO

Coordination Between Cash and Derivative Markets
October 1992, Report of the Technical Committee of IOSCO

Principles For Memoranda Of Understanding
September 1991, Prepared by Working Party No. 4 of the Technical Committee International Organization

Capital Requirements for Multinational Securities Firms
1990, Report of the Technical Committee of IOSCO

International Conduct of Business Principles
July 9, 1990, The Technical Committee of the International Organization of Securities Commissions

Capital Adequacy Standards for Securities Firms
1989, Report of the Technical Committee of IOSCO No.

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