Russian Federation; Detailed Assessment of Observance of IOSCO Objectives and Principles of Securities Regulation

This assessment reviews the regulatory framework in place for the oversight of the capital markets of the Russian Federation as of June 2011. The Russian securities markets, in particular, have been volatile, reflecting the inflow and outflow of money and the crisis. Foreign investment banks report that US$20 billion of foreign investment exited the markets during the first quarter of 2011. This volatility is continuing, and is reflected in the changes in market capitalization in relation to GDP.

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Year of publication:	2012-03-13
Institutions:	International Monetary Fund (IMF) ; International Monetary Fund
Subject:	Financial Sector Assessment Program \| Reports on the Observance of Standards and Codes \| Securities legislation \| Securities regulations \| market participants \| insider trading \| securities law \| prudential supervision \| securities regulation \| natural persons \| investor protection \| risk management \| financial reports \| capital requirements \| enforcement powers \| foreign authorities \| share information \| securities markets \| disclosure requirements \| due diligence \| legal entities \| company law \| iosco principles \| market intermediaries \| collective investment scheme \| dispute resolution \| market manipulation \| joint stock company \| regulatory authority \| stock company \| collective investment schemes \| consolidation \| joint stock companies \| stock companies \| accounting standards \| securities transactions \| international standards \| internal controls \| licensing process \| regulatory authorities \| administrative actions \| compliance officer \| legal entity \| securities laws \| corporate governance \| foreign counterparts \| stock exchange \| financial statements \| exchange commission \| capital requirement \| financial intelligence unit \| foreign regulators \| financial instruments \| money laundering \| good faith \| suspicious transactions \| compliance program \| regulatory requirements \| conflicts of interest \| criminal record \| foreign authority \| national association \| cross border transactions \| board members \| market infrastructure \| assessment methodology \| stock exchanges \| currency transactions \| settlement systems \| market intermediary \| adequate oversight \| administrative sanctions \| reporting requirements \| criminal authorities \| portfolio management \| adequate powers \| border transactions \| internal organization \| regulatory regime \| risk management practices \| non-governmental organization \| compliance function \| merger agreement \| class actions \| compliance regimes \| account opening \| good corporate governance \| dual criminality \| chief financial officer \| protection of investors \| technical capacity \| civil liability \| securities regulator \| shareholder actions \| specific exceptions \| holding company \| foreign regulatory \| continuous disclosure \| independent directors \| shareholder action \| securities regulators \| full disclosure \| corporate governance code \| disciplinary proceedings \| securities activities \| internal procedures \| international cooperation \| insolvency regimes \| investigative measures \| internal programs \| ex ante \| cash flow statement \| specific exception \| civil law jurisdictions \| reputational risks \| administrative proceedings \| internal policies \| chief financial officers \| risk management procedures \| taxable income \| financial standards \| conflicts of interests \| international law \| financial fraud \| chamber of commerce \| asset management \| self regulatory organizations \| large shareholders \| bad faith \| enforcement authorities \| financial intermediaries \| institutional interest \| securities firms \| investor protections \| banking secrecy \| public offerings \| exchange systems \| commercial property \| financial disclosures \| private contract \| licensing authority \| supervisory boards \| investment company act \| professional organizations \| financial disclosure \| foreign counterpart \| shareholder protections \| criminal prosecution \| confidentiality requirements \| individual investors \| corporate structure \| liability of directors \| third party transactions \| terrorist financing \| investment companies \| commodity exchanges \| criminal justice system \| inside information \| risk management systems \| audit committee \| financial regulation \| exchange law \| confidential information \| know your customer \| illegal profits \| false information \| tax authorities \| share market \| insider abuses \| licensing requirements \| payment systems \| criminal justice \| final merger agreement \| commercial enterprise \| financial sector supervisors \| fiduciary duties \| customer identity \| international accounting standards \| duty of loyalty \| holding companies \| internal rules \| prudential risks

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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 12/53 8 pages long
Source:	RePEc - Research Papers in Economics

Persistent link: https://www.econbiz.de/10011245383