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International Organization of Securities Commissions (IOSCO)
Risk Management and Control Guidance for Securities Firms and their Supervisors
(CONSULTATIVE DOCUMENTS)
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Download the document from the IOSCO site (Word 6.0, WordPerfect 5.1, ASCII Text)
II. The Role of Risk Management and Controls
III. Firm and Supervisory Considerations
IV. Elements of a Risk Management and Control System
Appendix A
Appendix B
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International Organization of Securities Commissions (IOSCO)
