| Disclosure- Why it shouldn't be the default |
ASIC & AFM |
October 2019 |
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| Guiding Principles on Business Continuity |
SECCOM |
May 2019 |
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| Commodity Storage and Delivery Infrastructures: Good and Sound Practices Report |
IOSCO |
2019-May |
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| IOSCO Report on Good Practices for Audit Committees in Supporting Audit Quality Report |
IOSCO |
2019-May |
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| Challenges and implications for the supervision and regulation of financial Services _ Big data meets AI |
BAFIN |
2018 - July |
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| IOSCO Report on Good Practices for the Termination of Investment Funds |
IOSCO |
2017-November |
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| Top 10 trends in Capital Markets 2018 |
Capgemini |
2017-November |
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| FINTECH AND FINANCIAL STABILITY |
DTCC |
2017-October |
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| ASIC Fintech and Reg Tech report |
ASIC |
2017-May |
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| IOSCO Task Force report on Wholesale Market Conduct |
IOSCO |
2017-July |
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| IOSCOReport on Financial Technologies (Fintech) |
IOSCO |
2017-February |
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| SME Financing and Equity Markets |
WFE |
2017-February |
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| IMF Global Financial Stability Report 2016 |
IOSCO |
2016-April |
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| IOSCO – Good Practice for Fees/Expenses of CIS |
IOSCO |
2016-August |
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| Securities Markets Risk Outlook 2016 |
IOSCO |
2016-March |
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| Cyber resilience: Health Check |
ASIC |
2016-March |
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| Credible Deterrence In The Enforcement Of Securities Regulation |
IOSCO |
2015-June |
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| SME Financing through Capital Markets |
IOSCO |
2015-July |
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| MARKET-BASED LONG-TERM FINANCING SOLUTIONS FOR SMEs AND INFRASTRUCTURE |
IOSCO |
2014-September |
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| IOSCO Risk Outlook 2014-15 |
IOSCO |
2014-October |
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| IOSCOAnnual Report 2013 |
IOSCO |
2014-July |
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| Penalties for corporate wrongdoing |
ASIC |
2014-March |
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| Point of Sale disclosure in the insurance, banking and securities sectors |
IOSCO |
2014-April |
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| Recommendations Regarding the Protection of Client Assets |
IOSCO |
2014-January |
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| Principles for the Valuation of Collective Investment Schemes |
IOSCO |
2013-May |
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| IOSCO Annual Report 2012 |
IOSCO |
2012-March |
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| Report on Investor Education Initiatives Relating to Investment Services |
IOSCO |
2013-February |
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| Financing of SMEs through Capital Markets in Emerging Market Countries |
ICSA |
2013-February |
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| Credit Rating Agencies: Internal Controls Designed to Ensure the Integrity of the Credit Rating Process and Procedures to Manage Conflicts of Interest |
IOSCO |
2012-December |
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| 2012 World Federation of Exchanges Market Highlights |
WFE |
2013-January |
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| Global Developments in Securitisation Regulation |
IOSCO |
2012-November |
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| Corporate Governance Disclosure in Emerging Markets |
UNCTAD |
2011-March |
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| Development and Regulation of Institutional Investors in Emerging Markets |
IOSCO |
2012-June |
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| Requirements for Mandatory Clearing |
IOSCO |
201-February |
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| Principles on Suspensions of Redemptions in Collective Investment Schemes |
IOSCO |
2012-January |
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| Development of Corporate Bond Markets in the Emerging Markets |
IOSCO |
2011-November |
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| Principles for the Regulation and Supervision of Commodity Derivatives Markets |
IOSCO |
2011-September |
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| Mitigating Systemic Risk |
IOSCO |
2011-February |
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| Report on Trading of OTC Derivatives |
IOSCO |
2011-February |
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| Principles on Point of Sale Disclosure |
IOSCO |
2011-February |
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| Guidelines for the Regulation of Conflicts of Interest Facing Market Intermediaries |
IOSCO |
2010-November |
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| Effectiveness of Market Interventions in Emerging Markets |
IOSCO |
2010-October |
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| Principles Regarding Cross-Border Supervisory Cooperation |
IOSCO |
2010-May |
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| The Development of the Collective Investment Schemes Industry in Emerging Markets |
IOSCO |
2009-December |
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| Guidelines to Emerging Market Regulators Regarding Requirements for Minimum Entry and Continuous Risk-Based Supervision of Market Intermediaries |
IOSCO |
2009-December |
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| Fit and Proper Assessment – Best Practice |
IOSCO |
2009-December |
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