Page 15 - 期货和衍生品行业监管动态（2023年9月刊）

期货和衍生品行业监管动态

对 征 求 意 见 稿 的 意 见 应 在 2023 年 10 月 19 日 前 发 送 至

mailto:DeFiconsultation@iosco.org。

IOSCO Establishes Global Approach to Address Risks in Decentralised Finance

(2023/9/7)

IOSCO, the global standard setter for the securities markets, has today issued for

consultation nine policy recommendations to address market integrity and investor

protection concerns arising from Decentralised Finance (DeFi).

The Recommendations cover six key areas, consistent with the IOSCO Objectives

and Principles for Securities Regulation and relevant supporting IOSCO standards,

recommendations, and good practices: (1) Understanding DeFi Arrangements and

Structures, (2) Achieving Common Standards of Regulatory Outcomes, (3)

Identification and Management of Key Risks (4) Clear, Accurate and Comprehensive

Disclosures (5) Enforcement of Applicable Laws, (6) Cross-Border Cooperation.

Jean-Paul Servais, IOSCO Board Chair said: “By supporting greater consistency

of regulatory frameworks and oversight across member jurisdictions, the DeFi

recommendations complement the Crypto and Digital Assets Recommendations

published in May 2023. Once finalised, the two sets of Recommendations will provide

a first clear, interoperable, and globally consistent policy framework for crypto and

digital assets, including DeFi. This report marks a significant step forward in achieving

regulatory outcomes for investor protection and market integrity that are the same as,

or consistent with, those required in traditional financial markets across IOSCO’s 130

member jurisdictions.”

Tuang Lee Lim, Chair of IOSCO’s Board-Level Fintech Task Force said: “There

is a common misconception that DeFi is truly decentralised and governed by

autonomous code or smart contracts. In reality, regardless of the operating model of

the DeFi arrangement, “responsible persons” can be identified. Our recommendations

2