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ARTICLE · 10 APRIL 2012

IOSCO Releases Consultation Paper

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On March 14, 2012, the Technical Committee of the International Organization of Securities Commissions (IOSCO) released a Consultation Report (the Consultation Report) entitled Principles for the Regulation of Exchange Traded Funds.

CanadaStrategy
Carol Derk
Carol Derk
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Principles for the Regulation of Exchange Traded Funds

On March 14, 2012, the Technical Committee of the International Organization of Securities Commissions (IOSCO) released a Consultation Report (the Consultation Report) entitled Principles for the Regulation of Exchange Traded Funds. The Consultation Report was prepared by the Technical Committee's Standing Committee on Investment Management (SC5) and highlights the committee members' experience and key regulatory issues regarding exchange traded funds, identifies common issues of concern and proposes a set of principles or best practices for ETF regulation. SC5, on which both the Ontario Securities Commission and Québec's Authorité des marchés financiers have staff members, acknowledges the variety of exchange-traded products available in the market, but explains that the Consultation Report is limited to exchange traded funds that are organized as collective investment schemes, commonly known as ETFs.

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