European Parliament Library

Germany :, Financial Sector Assessment Program: Detailed Assessment of Observance of IOSCO Objectives and Principles of Securities Regulations

Germany has a comprehensive legislative and institutional framework for the effective supervision of the securities markets. The overall level of compliance with the IOSCO principles is high. There are significant industry concerns about the implementation costs resulting from a rapidly changing legislative framework. The German Federal Financial Supervisory Authority (BaFin’s) overall approach to supervision relies very heavily on the flow of information, auditors’ reports, and compliance with legislative obligations. Regulators at both the federal and state levels work with a clear legal framework and clearly defined powers and responsibilities
Table Of Contents
Cover; Contents; Glossary; A; B; C; D; E; F; G; H; I; K; M; S; T; U; V; W; I. Summary, Key Findings, and Recommendations; A. Introduction; B. Information and Methodology Used for Assessment; C. Institutional Structure-Overview; D. Market Structure and Activity; E. Exchange and Other Regulated Markets (MTFs); F. Recent Developments; G. Preconditions for Effective Securities Regulation; H. Main Findings; Tables; 1. Summary Implementation of the IOSCO Principles-ROSCs; I. Recommended Action Plan and Authorities' Response
Literary Form
non fiction
Description based upon print version of record
Physical Description
1 online resource (98 p.)
Specific Material Designation
Form Of Item

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