IOSCO’s Objectives and Principles of Securities Regulation


Date: 28 June 2017

On 31 May 2017, the International Organisation of Securities Commissions (IOSCO) published its Objectives and Principles of Securities Regulation.  The document sets out 38 principles of securities regulation, which are based upon three Objectives of securities regulation.  These are:


  • Protecting investors;
  • Ensuring that markets are fair, efficient and transparent;
  • Reducing systemic risk.


The 38 Principles need to be practically implemented under the relevant legal framework to achieve the Objectives of regulation described above.  The Principles are grouped into ten categories.