Monaco; Technical Note on IOSCO Objectives and Principles of Securities Regulation: Update

This Technical Note reviews the International Organization of Securities Commissions’s (IOSCO) Objectives and Principles of Securities Regulation for Monaco. It reveals that overall, there has been progress in implementing the Offshore Financial Center assessment recommendations in most areas of securities regulation, but more needs to be done on key topics. In granting a license to conduct investment activities, the Commission de Contrôle des Activités Financières (Financial Activity Supervisory Commission) considers the professional qualifications of individuals, the company’s systems and controls, and its sources of capital.

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Year of publication:	2008-07-07
Institutions:	International Monetary Fund (IMF) ; International Monetary Fund
Subject:	Securities regulations \| insider dealing \| market manipulation \| insider trading \| mutual funds \| administrative sanctions \| collective investment schemes \| exchange information \| investors \| securities regulation \| professional secrecy \| foreign authority \| good faith \| investment services \| financial intelligence unit \| regulatory development \| securities regulators \| licensing authority \| information exchange \| accounting standards \| collective investment scheme \| foreign regulators \| transferable securities \| self regulatory organizations \| market intermediaries \| assessing compliance \| investor protection \| money laundering \| licensing requirements \| reporting requirements \| anti money laundering \| supervisory bodies \| market participants \| regulatory requirements \| financial activity \| financial intelligence units \| intelligence units \| regulatory authorities \| accounting firms \| private equity \| foreign regulatory \| share information \| criminal law \| regulatory measures \| criminal conviction \| venture capital \| securities markets \| investment fund \| securities activities \| supervisory authorities \| suspicious transactions \| false information \| international standards \| criminal record \| anti money laundering obligations \| criminal offence

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Extent:	application/pdf
Series:	IMF Staff Country Reports.
Type of publication:	Book / Working Paper
Notes:	The text is part of a series IMF Staff Country Reports Number 08/218 2 pages long
Source:	RePEc - Research Papers in Economics

Persistent link: https://www.econbiz.de/10011242717