A Survey of Securities证件调查

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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