Regulations

Documents

Association of Global Custodians

In July 2001 Rule 17f-7 entered into effect in the United States and was adopted by the SEC (Securities Exchange Commission), whereby it requires that Global Custodians provide fund managers with an assessment of the risks associated to the ownership of securities in each one of the foreign depositories. As a result of this new ruling, the Association of Global Custodians (AGC), which includes nine of the main Global Custodians in the United States that offer cross-border custody services, prepared a questionnaire on each one of the points referred to in the aforementioned rule.

The following document contains the responses provided by IBERCLEAR in said questionnaire:

 

CPSS-IOSCO Principles for financial markets infrastructures: Disclosure Framework

In April 2012, the Committee on Payment and Settlement Systems (CPSS) and the International Organization of Securities Commissions (IOSCO) released the report Principles for financial markets infrastructures, which establishes new international standards for financial markets infrastructures, including central securities depositories and securities settlement systems.

In December 2012, CPSS-IOSCO published the report Principles for financial markets infrastructures: the Disclosure Framework and the Assessment methodology, with the aim to promote the observance of the principles and responsibilities set forth in the report Principles for financial markets infrastructures.

The following document contains the answers provided by IBERCLEAR to the Disclosure Framework on June 2020: 

 

FSB questionnaire on continuity of access to financial market infrastructures (FMIs) for firms in resolution

On 14 August 2020 The Financial Stability Board (FSB) published a common template for gathering information about continuity of access to financial market infrastructures (FMIs) for firms in resolution. The template takes the form of a questionnaire that all FMIs are encouraged to complete.

The following document contains the responses provided by IBERCLEAR to the questionnaire:

         FSB Questionnaire IBERCLEAR

 

Copyright® BME 2021
[ https://www.iberclear.es ]