A Survey of Securities证件调查.pdf

Staff Working Paper: [SWP7/2015] A Survey of Securities Market Risk Trends 2015 Methodology and detailed results December 2015 Staff Working Paper of the IOSCO Research Department Author: Shane Worner 1 This Staff Working Paper should not be reported as representing the views of IOSCO. The views and opinions expressed in this Staff Working Paper are those of the authors and do not necessarily reflect the views of the International Organization of Securities Commissions or its members. For further information please contact: research@ 1 The author is a Senior Economist within IOSCO’s Research Department. The author would like to thank all survey participants that took the time to complete the survey. 1 About this Document The IOSCO Research Department produces research and analysis on a range of securities markets issues, risks and developments. To support these efforts, the IOSCO Research Department undertakes a number of annual information gathering exercises including, but not limited to, gathering market intelligence and data from major financial centres and analysis through independent surveys. One such information gathering exercise undertaken by the Research Department on an annual basis is a risk survey; an in-depth survey formulated to collect views of financial market regulators and experts globally on those risk areas, particularly securities markets, which may be of concern. This edition of the survey was conducted in March 2015 and is the fourth time such an exercise has been und