Intermediary Internal Controls Associated with与之相关的中介内部控制 结构性金融价格验证 产品和监管方法 流动性风险管理.pdfVIP

Intermediary Internal Controls Associated with Price Verification of Structured Finance Products and Regulatory Approaches to Liquidity Risk Management Consultation Report TECHNICAL COMMITTEE OF THE INTERNATIONAL ORGANIZATION OF SECURITIES COMMISSIONS CR04/10 JULY 2010 This paper is for public consultation purposes only. It has not been approved for any other purpose by the IOSCO Technical Committee or any of its members. Foreword The International Organization of Securities Commissions Technical Committee‘s (TC) Standing Committee on the Regulation of Market Intermediaries (TCSC3) for public consultation this Consultation Report on Intermediary Internal Controls Associated with Price Verification of Structured Finance Products and Regulatory Approaches to Liquidity Risk Management . The Consultation Report sets out the results of surveys of firms and regulators on the internal controls and policies in effect at firms, and pertinent regulations, in or around June 2006 i.e., prior to the financial crisis, and any changes made as a result of the crisis with regard to structured finance products. The surveys also sought respondents‘ views concerning the viability of the traditional independent investment banking model in light of the financial crisis that developed after 2006. How to Submit Comments Comments may be submitted by one of the three following methods on or before 29 October 2010. To help us process and review your comments more efficiently, please use only one method. Important: All comments will be made available publicly, unless anonymity is specifically reque