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Objectives and Principles of Securities Regulation

List of IOSCO Resolutions

1. April 1983: Resolution on the Regulation of Securities Markets (P.C.)

2. July 1986: Resolution on Factors in Capital Markets Development (P.C.)

3. July 1986: Resolution on the Privatization of State-Owned Companies (P.C.)

4. July 1986: Resolutions on the Integration of Financial Activities Within Multi-Functional Bodies (2) (P.C.)

5. November 1986: Resolution Concerning Mutual Assistance (E.C.)

6. July 1987: Statement on the Creation of the Technical Committee of IOSCO (T.C.)

7. September 1987: Resolution on Modification and Simplification of the Prospectus (P.C.)

8. September 1987: Resolution on Conversion of the Foreign Debt Into Securities (P.C.)

9. September 1987: Resolution on Cooperation in Matters of Surveillance and Enforcement (P.C.)

10. September 1987: Resolution on Development and Access of Markets (P.C.)

11. October 1988: Statement of Support for the International Accounting Standards Committee Initiative (T.C.)

12. November 1988: Resolutions on Harmonization of Accounting and Auditing Standards (2) (P.C.)

13. June 1989: Statement on Issues of Clearance and Settlement (T.C.)

14. June 1989: Resolution on Cooperation (E.C.)

15. September 1989: Resolution on International Harmonization of Securities and Derivatives Markets (P.C.)

16. September 1989: Resolution on Rules of Ethics of Intermediaries (P.C.)

17. September 1989: Resolution on Market Automation and its Implications for Regulatory Activity (P.C.)

18. September 1989: Resolution on Capital Adequacy Standards (P.C.)

19. September 1989: Resolution on International Equity Offers (P.C.)

20. November 1990: Resolution on Information Sharing Between SROs (SRO C. C.)

21. November 1990: Resolution on Principles for the Oversight of Screen-Based Trading Systems for Derivative Products (P.C.)

22. November 1990: Resolution on International Conduct of Business Principles (P.C.)

23. September 1991: Resolution on Principles for Memoranda of Understanding (P.C.)

24. October 1992: Resolution on Principles for the Supervision of Financial Conglomerates (P.C.)

25. October 1992: Resolution on the Endorsement of International Auditing Standards (P.C.)

26. October 1992: Resolution on Money Laundering (P.C.)

27. October 1992: Resolution on Clearing and Settlement (P.C.)

28. October 1993: Resolution on Transnational Securities and Futures Fraud (P.C.)

29. October 1993: Resolution on Coordination Between Cash and Derivatives Markets (P.C.)

30. October 1993: Resolution Concerning Accounting Standard IAS 7 (P.C.)

31. October 1994: Resolution on Commitment to Basic IOSCO Principles of High Regulatory Standards and Mutual Cooperation and Assistance (P.C.)

32. July 1995: Joint IOSCO - IASC Statement on the Development of International Accounting Standards (T.C.)

33. July 1995: Resolution Concerning Cross-Border Transactions (P.C.)

34. March 1996: Recommendation on the Recognition of Bilateral Netting Agreements in the Calculation of Capital Requirements for Securities Firms (T.C.)

35. September 1996: Resolution on Enforcement Powers of a Securities and Futures Supervisory Agency (E.M.C.)

36. September 1996: Resolution on Providing Certainty of the Enforceability of Netting Arrangements for Over-the-Counter Derivatives Transactions (P.C.)

37. February 1997: Resolution on Enforcement Powers (T.C.)

38. May 1997: Statement on Year 2000 (T.C.)

39. November 1997: Resolution on Enforcement Powers (P.C.)

40. November 1997: Resolution on Principles for Record Keeping, Collection of Information, Enforcement Powers and Mutual Cooperation to Improve the Enforcement of Securities and Futures Laws (P.C.)

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