Australia : IOSCO Objectives and Principles of Securities Regulation—Detailed Assessment of Implementation

Publication Date: November 21, 2012
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Summary: The Australian legal and regulatory framework for securities markets exhibits a high level of compliance with the International Organization of Securities Commissions (IOSCO) Principles. A few remaining concerns need to be resolved, including some identified in the 2006 assessment. Australian Securities and Investments Commission’s (ASIC) operational independence and sufficiency of resources are overarching concerns which impair its ability to discharge its supervisory functions adequately and effectively across the entire regulated population.
Series: Country Report No. 12/314
Subject(s): Securities regulations | Securities markets | Securities legislation | Reports on the Observance of Standards and Codes | Financial Sector Assessment Program | Australia

Publication Date: November 21, 2012
ISBN/ISSN: 9781475563412/1934-7685 Format: Paper
Stock No: 1AUSEA2012008 Pages: 153
US$18.00 (Academic Rate:
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