"International Organization of Securities Commissions (IOSCO) is an association of organizations that regulate the world's securities and futures markets."
A study of the international securities law landscape, including the key international organizations and standards that govern securities transactions across borders.
Overview of Securities Law: This includes the basic concepts and principles of securities law, regulatory compliance, and enforcement.
Jurisdiction and Choice of Law: An exploration of the various laws and rules that apply to international securities transactions and how they differ according to jurisdiction.
Securities Market Participants: You will learn about different securities market participants such as issuers, investors, regulators, and intermediaries, and their roles in the securities market.
Securities Offerings: This includes a detailed examination of the various types of securities offerings, including public and private offerings, and how they are regulated.
Securities Trading and Markets: An overview of securities trading, market structure, and regulation, including stock exchanges, over-the-counter markets, and high-frequency trading.
Securities Regulation and Enforcement: This topic covers the various regulations and enforcement measures such as penalties, fines, and civil suits applied to securities markets.
Investor Protection: You will learn about the measures employed to protect the interests of investors, including the disclosure requirements and fiduciary duties of intermediaries in the securities market.
Securities Litigation: An analysis of the various claims and remedies available for securities-related offenses, including securities fraud and insider trading.
International Securities Law: This topic explores the agreements, treaties, and protocols that govern international securities transactions and how they interact with national securities laws.
Securities and Financial Derivatives: Lastly, you will learn about complex financial market instruments such as derivatives, including their regulation, trading, and market operations.
Securities Act of 1933: The Securities Act of 1933 is a federal law that regulates the sale of securities in the United States, aiming to promote transparency and ensure investor protection.
Securities Exchange Act of 1934: The Securities Exchange Act of 1934 is a federal law in the United States that regulates the secondary trading of securities, imposes disclosure requirements on public companies, and establishes the U.S. Securities and Exchange Commission.
Investment Company Act of 1940: The Investment Company Act of 1940 regulates and sets standards for the organization and operations of investment companies to protect investors in securities.
Investment Advisers Act of 1940: The Investment Advisers Act of 1940 regulates and provides oversight for individuals and firms engaged in the business of providing investment advice to clients in the United States.
Securities Investor Protection Act of 1970: The Securities Investor Protection Act of 1970 is a U.S. federal law that aims to protect investors' funds in the event of a brokerage firm's failure by providing limited recovery of lost assets.
Sarbanes-Oxley Act of 2002: The Sarbanes-Oxley Act of 2002 is a federal law that aims to improve the transparency, accuracy, and accountability of publicly traded companies in the United States following accounting scandals such as Enron and WorldCom.
Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010: The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 is a comprehensive legislation aimed at regulating financial markets, improving transparency, and protecting consumers from abusive financial practices in the aftermath of the 2008 financial crisis.
The European Union Prospectus Regulation (2017/1129): The European Union Prospectus Regulation (2017/1129) aims to harmonize and modernize the rules for the disclosure of information in securities offerings, enhancing market efficiency and investor protection within the European Union.
Markets in Financial Instruments Directive II (MiFID II): MiFID II is a European Union directive that regulates financial markets and aims to enhance transparency and investor protection in the trading of financial instruments.
Basel III and Basel IV: Basel III is a set of international banking regulations aimed at increasing the resilience of banks by imposing stricter capital and liquidity requirements, while Basel IV refers to currently proposed additional reforms to the capital framework that seek to address certain shortcomings and further enhance the stability and risk management of the global banking system.
International Organization of Securities Commissions (IOSCO) Securities Law: International Organization of Securities Commissions (IOSCO) Securities Law refers to the regulations and guidelines established by IOSCO to promote consistent and effective securities regulation and supervision across global markets.
Hong Kong Securities and Futures Commission Law: Hong Kong Securities and Futures Commission Law focuses on regulating and overseeing the securities and futures markets in Hong Kong to protect investors and maintain market integrity.
Japan Financial Services Agency Law: Japan Financial Services Agency Law is a law that regulates and supervises the financial services industry in Japan, ensuring the stability and integrity of the country's financial markets.
Canadian Securities Law: Canadian Securities Law refers to the legal framework and regulations governing the issuance, trading, and oversight of securities in Canada.
Australian Securities & Investments Commission Law: The Australian Securities & Investments Commission Law governs the regulation and oversight of Australia's financial markets and protects investors.
Brazilian Securities Commission Law: The Brazilian Securities Commission Law is a legislation governing the establishment, organization, and authority of the Brazilian Securities Commission (CVM) in regulating and supervising securities markets and participants in Brazil.
Nigerian Securities and Exchange Commission Law: Nigerian Securities and Exchange Commission Law encompasses regulations and provisions governing the securities industry in Nigeria, including the regulation of securities offerings, stock exchanges, and investor protection.
Indian Securities and Exchange Board Law: The Indian Securities and Exchange Board Law refers to the legislation governing securities regulation and the functioning of the Securities and Exchange Board of India (SEBI) in overseeing the Indian capital markets.
Singapore Securities and Futures Act and Financial Advisers Act: The Singapore Securities and Futures Act and Financial Advisers Act are legislative frameworks that regulate the securities and futures market, as well as the activities of financial advisers and intermediaries in Singapore.
"Members are typically primary securities and/or futures regulators in a national jurisdiction or the main financial regulator from each country."
"Its mandate is to develop, implement, and promote high standards of regulation to enhance investor protection and reduce systemic risk."
"Share information with exchanges and assist them with technical and operational issues."
"Establish standards toward monitoring global investment transactions across borders and markets."
"IOSCO has members from over 100 countries."
"Members regulate more than 95% of the world's securities markets."
"It has a permanent secretariat in Madrid, Spain."
"IOSCO is an association of organizations that regulate the world's securities and futures markets."
"IOSCO is mandated to develop, implement, and promote high standards of regulation to enhance investor protection."
"It shares information with exchanges and assists them with technical and operational issues."
"IOSCO establishes standards toward monitoring global investment transactions across borders and markets."
"IOSCO has members from over 100 countries."
"Members regulate more than 95% of the world's securities markets."
"It has a permanent secretariat in Madrid, Spain."
"Members are typically primary securities and/or futures regulators in a national jurisdiction or the main financial regulator from each country."
"IOSCO aims to develop, implement, and promote high standards of regulation to enhance investor protection and reduce systemic risk."
"It shares information with exchanges and assists them with technical and operational issues."
"IOSCO's focus is on monitoring global investment transactions across borders and markets."
"The International Organization of Securities Commissions (IOSCO) governs the world's securities and futures markets."