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ID:39577814
大小:1.87 MB
页数:30页
时间:2019-07-06
《A Survey of Securities证件调查》由会员上传分享,免费在线阅读,更多相关内容在学术论文-天天文库。
1、StaffWorkingPaper:[SWP7/2015]ASurveyofSecuritiesMarketRiskTrends2015MethodologyanddetailedresultsDecember2015StaffWorkingPaperoftheIOSCOResearchDepartment1Author:ShaneWornerThisStaffWorkingPapershouldnotbereportedasrepresentingtheviewsofIOSCO.Theviewsando
2、pinionsexpressedinthisStaffWorkingPaperarethoseoftheauthorsanddonotnecessarilyreflecttheviewsoftheInternationalOrganizationofSecuritiesCommissionsoritsmembers.Forfurtherinformationpleasecontact:research@iosco.org1TheauthorisaSeniorEconomistwithinIOSCO’sRe
3、searchDepartment.Theauthorwouldliketothankallsurveyparticipantsthattookthetimetocompletethesurvey.1AboutthisDocumentTheIOSCOResearchDepartmentproducesresearchandanalysisonarangeofsecuritiesmarketsissues,risksanddevelopments.Tosupporttheseefforts,theIOSCOR
4、esearchDepartmentundertakesanumberofannualinformationgatheringexercisesincluding,butnotlimitedto,gatheringmarketintelligenceanddatafrommajorfinancialcentresandanalysisthroughindependentsurveys.OnesuchinformationgatheringexerciseundertakenbytheResearchDepa
5、rtmentonanannualbasisisarisksurvey;anin-depthsurveyformulatedtocollectviewsoffinancialmarketregulatorsandexpertsgloballyonthoseriskareas,particularlysecuritiesmarkets,whichmaybeofconcern.ThiseditionofthesurveywasconductedinMarch2015andisthefourthtimesucha
6、nexercisehasbeenundertakenbythedepartment.Unlikepreviouseditions,thisyear’sexercisehasanexpandedscope.Notonlydiditconsiderriskstofinancialstability,italsoconsideredriskstoIOSCO’stwootherobjectives,namelyinvestorprotectionandfairandefficientmarketsThemainp
7、urposeofthesurveyistogatherviewsonemergingrisksto/withinsecuritiesmarketsandhelpidentify/highlightpocketsofriskthatmaynotbecapturedbynormalstatisticalanalysisordeskresearch.Itisnotanattempttorankrisksthroughasurvey.Thesurveyshouldbeseenasonewaytogatherglo
8、balviewsandopinionsandanimportantsupplementtothemarketintelligenceandotherdataresearchexercisesundertakenbytheresearchfunctionofIOSCO.TheresultsofthissurveyconstituteanimportantinputintotheannualproductionoftheIOSCO
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