European Parliament Library

Monaco :, Technical Note on IOSCO Objectives and Principles of Securities Regulation: Update

This Technical Note reviews the International Organization of Securities Commissions’s (IOSCO) Objectives and Principles of Securities Regulation for Monaco. It reveals that overall, there has been progress in implementing the Offshore Financial Center assessment recommendations in most areas of securities regulation, but more needs to be done on key topics. In granting a license to conduct investment activities, the Commission de Contrôle des Activités Financières (Financial Activity Supervisory Commission) considers the professional qualifications of individuals, the company’s systems and controls, and its sources of capital
Table Of Contents
Cover; Contents; Glossary; IOSCO Objective and Principles of Securities Regulation-Update; I. Conclusions and Recommendations of the 2003 Assessment; Tables; 1. Monaco: 2003 IOSCO Assessment; II. Principles Review; The regulator: Principles 1-5; Other recommendations for action; Other issues; Self Regulation: Principles 6 and 7; Enforcement: Principles 8-10; Cooperation: Principles 11-13; Issuers: Principles 14-16; Collective Investment Schemes: Principles 17-20; Market Intermediaries: Principles 21-24; Secondary Markets: Principles 25-30
Literary Form
non fiction
Description based upon print version of record
Physical Description
1 online resource (23 p.)
Specific Material Designation
Form Of Item

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