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IOSCO On ETFs

In March 2012, the technical committee of the International Organization of Securities Commissions (IOSCO) issued a report on Principles for the Regulation of Exchange Traded Funds.  The report requests comments on the Committee’s proposed recommended principles on ETF regulation.  The principles cover the following areas: disclosure, marketing, conflicts and portfolio strategies, and broad risk issues.  In addition, the report includes a comparison of the characteristics of ETFs in the US and Europe.  Finally, the report compares the regulatory structures for ETFs in member jurisdictions.

A full copy of the report is available at http://www.iosco.org/library/pubdocs/pdf/IOSCOPD376.pdf.