Saturday, October 29, 2011

Principles on Point of Sale Disclosure


The International Organization of Securities Commissions‟ (IOSCO) Technical Committee‟s Standing Committee on the Regulation of Market Intermediaries (TCSC3) and the Standing Committee on Investment Management (TCSC5) (known collectively as the Joint Group) have jointly authored the Principles on Point of Sale Disclosure Final Report. The Report sets out principles that are designed to assist markets and market authorities when considering point of sale disclosure requirements.


This Report was produced by the Joint Group according to the Joint Project Specification on Point of Sale Disclosure to Retail Investors,1 approved by the Technical Committee (TC) in February 2007.

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