Methodology For Assessing Implementation of the IOSCO Objectives and Principles of Securities Regulation

IOSCO is the leading international grouping of securities2 market regulators. Its current membership comprises regulatory bodies from over 100 jurisdictions that have day-to-day responsibility for securities regulation and the administration of securities laws. The IOSCO membership represents a broad spectrum of markets of various levels of complexity and development, of different sizes, operating in different cultural and legal environments.

This Methodology is designed to provide IOSCO’s interpretation of the International Organization of Securities Commission’s Objectives and Principles of Securities Regulation (“Principles”)3 and give guidance on the conduct of a self-assessment or third-party assessment of the level of Principles implementation.

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