PublicationsBACK

Objectives and Principles of Securities Regulation

May 31, 2003 | OICV-IOSCO | OICV-IOSCO

This document sets out 30 principles of securities regulation, which are based upon three objectives of securities regulation, namely, the protection of investors, ensuring that markets are fair, efficient and transparent, and the reduction of systemic risk. The 30 principles need to be practically implemented under the relevant legal framework to achieve the objectives of regulation.

Theme: Long-Term Finance and Capital Markets, Financial Stability & Governance, Banking Supervision and Regulation | Pages: 68
Download
RELATED PUBLICATIONS
Africa’s Growth Engine: Why Deepening the Financial Sector Matters
Oct 08, 2025 | FSD Africa
This white paper, the first in a series tackling key questions for donors and market actors interested in financial sector…
Stressed and Underserved: African Women and the Weight of the COVID-19-Induced Financial Worry -…
Oct 03, 2025 | AfDB
The COVID-19 pandemic sparked a global crisis like no other, leaving behind severe economic strain and emotional stress. Nowhere were…
MFW4A GAB Ghana trade finance workshop post-event report, 29 September 2025
Oct 01, 2025
On September 11th-12th, 2025 a workshop was held at the Mövenpick Ambassador Hotel in Accra, Ghana, exploring the challenges and…
The Role of Central Banks and Other Financial Sector Regulators and Policymakers in Job Creation in…
Aug 28, 2025 | AFI
Africa continues to face high unemployment, widespread informality, and a rapidly growing youth population entering the labour market…
Trade & Development Finance Brief (ATDFB) Volume 1 Issue 1, 2025: Financing Green Infrastructure
Jul 02, 2025 | Afreximbank
Financing green infrastructure is critical in responding to global environmental challenges, particularly, climate change on account…
African Trade Report 2025: African Trade in a Changing Global Financial Architecture
Jun 09, 2025 | Afreximbank
The 2025 edition of the African Trade Report, published by the African Export-Import Bank (Afreximbank), examines trade and economic…