Page 16 - 期货和衍生品行业监管动态（2025年4月）

期货和衍生品行业监管动态

IOSCO Issues Final Report on Standards Implementation Monitoring for
Regulator Principles (2025/4/2)

IOSCO publishes a Final Report following its review of IOSCO Standards

Implementation Monitoring (ISIM) for Regulator Principles 6 and 7 which address

systemic risk and perimeter of regulation.

IOSCO’s Objectives and Principles of Securities Regulation 6 and 7 stipulate

that regulators should have or contribute to processes to identify, monitor, mitigate

and manage systemic risk, as well as have or contribute to a process to review the

perimeter of regulation regularly.

This ISIM Review by IOSCO’s Assessment Committee found a high level of

implementation across the 55 jurisdictions from both emerging and advanced markets.

The ISIM Report highlights some good practices and also identifies a few areas

where there is room for improvement, observed primarily in some emerging markets.

For example, the Report notes that some jurisdictions do not have clear

responsibilities, definitions and regulatory processes with respect to systemic risk.

Other jurisdictions lack a proper information-sharing framework among various

regulators to manage systemic risk. On the perimeter of regulation, some members
mentioned the lack of a formal process to review any unregulated products, activities

or markets.

Jean-Paul Servais, IOSCO Board Chair and Chair of the Belgium Financial

Services & Markets Authority, said: “To effectively fulfil the core objectives of

IOSCO, regulators should adhere to the principles set forth in IOSCO’s Principles 6

and 7. This includes ensuring that regulatory processes are robust enough to manage

systemic risk, with adequate resources and formal mechanisms for reviewing the

regulatory perimeter on an ongoing basis.”

Laurent Van Burik, Assessment Committee Chair, said: “We are highly

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