Page 33 - 期货和衍生品行业监管动态（2025年11月）

期货和衍生品行业监管动态

This report is the final milestone of IOSCO’s Roadmap to Retail Investor Online

Safety, concluding a year of spotlight on the new challenges to retail investor

protection.

“Neo-brokers are reshaping the retail investment landscape through digital

platforms, low- cost trading models, and new forms of investor engagement. This

report provides regulators with a clear view of the risks and opportunities posed by

these evolving business models, and offers practical recommendations to strengthen

transparency, manage conflicts of interest, and protect retail investors in an

increasingly digital market environment.”

- Jean-Paul Servais, Chair of IOSCO’s Board

“In today’s changing demographic and economic environment, broadening retail

investor access to financial market is critical, and neo-brokers can play a positive role.

However, their business models may introduce risks when products and services don't

align with investors' best interests. IOSCO’s recommendations provide clear guidance

on how to mitigate these risks and ensure investor protection.”

- James Andronis, Chair of IOSCO’s Committee on Regulation of Market
Intermediaries (C3)

https://www.iosco.org/news/pdf/IOSCONEWS779.pdf

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