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. The core principles give practical effect to three fundamental objectives of securities regulation:

  • The protection of investors.
  • Ensuring that markets are fair, efficient and transparent.
  • The reduction of systemic risk.

Together, the IOSCO Objectives and Principles are intended to give guidance to national regulators and serve as a yardstick against which to measure progress toward effective regulation.

IOSCO has now published a survey on the implementation of the IOSCO Objectives and Principles. All IOSCO members have been asked to complete the survey to help IOSCO gain a better understanding of the extent by which the securities regulatory system in each member jurisdiction is consistent with the IOSCO Objectives and Principles and to identify areas in which more progress may be made.

The results of the survey and developments in regulatory and supervisory standards may lead to revisions and IOSCO notes that it may need to update the IOSCO Objectives and Principles periodically.

View High Level Questionnaire - Survey on the implementation of the IOSCO Objectives and Principles of Securities Regulation, 26 April 2010