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Results: 1-10 of 89

Global regulation and investigations challenges ahead in 2015
  • Norton Rose Fulbright LLP
  • Africa, Asia-Pacific, Canada, European Union, Global, Middle East, USA
  • March 2 2015

Regulation and investigations remain among the primary concerns of businesses. In this briefing, we provide an overview of some of the key global and


IOSCO consults on auditor transparency, communication and ownership structures
  • Norton Rose Fulbright LLP
  • Global
  • September 24 2009

Concerns over the transparency of audit firms and the relationship between transparency and the quality of audits and the availability and delivery of audit services, the adequacy of the standard audit report, and the impact of audit firm ownership structure on concentration in the market for auditing large issuers have prompted the Technical Committee of the International Organization of Securities Commissions (IOSCO) to expand the scope of its work to include a number of audit service-related issues


IOSCO publishes due diligence good practices for investment managers
  • Norton Rose Fulbright LLP
  • Global
  • August 11 2009

On 29 July 2009, the International Organization of Securities Commissions’ (IOSCO) Technical Committee published a final report entitled IOSCO Good Practices in relation to Investment Managers’ Due Diligence When Investing in Structured Finance Instruments


High-Level Questionnaire - Survey on the implementation of the IOSCO Objectives and Principles of Securities Regulation
  • Norton Rose Fulbright LLP
  • Global
  • May 3 2010

In 1998 the International Organization of Securities Commissions (IOSCO) adopted the Objectives and Principles of Securities Regulation (IOSCO Objectives and Principles) which set out 30 core principles of securities regulation


Financial services updater 13 January 2014: insurance
  • Norton Rose Fulbright LLP
  • European Union, Global, United Kingdom
  • January 13 2014

The European Insurance and Occupational Pensions Authority (EIOPA) has published an updated version of its Risk Dashboard. In the main, despite some


Financial services updater 13 January 2014: retail
  • Norton Rose Fulbright LLP
  • Global, United Kingdom
  • January 13 2014

The International Organization of Securities Commissions (IOSCO) has published its final report on the regulation of retail structured products


Financial services updater 13 January 2014: regulation & compliance
  • Norton Rose Fulbright LLP
  • European Union, Global
  • January 13 2014

The Joint Forum which consists of the Basel Committee on Banking Supervision, the International Organization of Securities Commissions and the


G20 statement from second gathering in Pittsburgh: the dilemma of the curate’s egg
  • Norton Rose Fulbright LLP
  • Global
  • October 19 2009

A look at the statement of aims for reform released by the leaders of the G20 nations after their Pittsburgh summit is like the curate’s egg - good in parts


Financial Stability Board report
  • Norton Rose Fulbright LLP
  • Global
  • October 19 2009

On 25 September the Financial Stability Board (FSB) published a report which contained implementation standards for its Principles for Sound Compensation Practices which was published earlier this year


Financial services updater - 4 February 2014: regulation & compliance
  • Norton Rose Fulbright LLP
  • European Union, Global, USA
  • February 4 2014

The Financial Stability Board (FSB) has updated its Handbook which sets out guidelines for the conduct of FSB peer reviews. Section 1 sets peer