IOSCO published a report on the examination of governance on collective Investment Schemes. The
CIS Core Principles are specifically aimed at the regulation of the world’s securities markets. In contrast, the general principles of
CIS Governance may focus on the role of other entities, including the Regulator, in
CIS Governance. The Core Principles and broad general principles of
CIS Governance are, however, complementary.
IOSCO recognizes that there are additional CIS Governance principles that are common to member jurisdictions and supplement the primary principle of independent review and oversight of the CIS Operator’s duties, including most notably the prevention of conflicts of interest.
Report
© IOSCO
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