-IOSCO: Objectives and Principles of Securities Regulation
This document sets out three objectives upon which securities regulation is based. These are:
The protection of investors;
Ensuring that markets are fair, efficient and transparent;
The reduction of systemic risk.
Although there are local differences in market structures, these objectives form a basis for an effective system of securities regulation. The document also sets out thirty principles of securities regulation that give practical effect to the objectives. The discussion provides some examples of current practices, recognizing that these practices will and should change as the markets change and as technology and improved coordination among regulators makes other strategies available.
See full IOSCO paper and press release
© IOSCO
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