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Contents

Executive Summary

1. Introduction

2. Securities Sector and Supervisory Approaches
   1. Securities Markets Development and Financial Stability
      
   2. Regulation and Supervision of Securities Markets
      
   3. IOSCO and the Principles

3. Principles Assessment Process and Findings
   1. Assessment Process
      
   2. Preconditions Assessment
      
   3. Assessment of Principles
             General observations
             Main findings and assessment recommendations
             Emerging market country and developed country
                comparisons
             Principles assessment and IOSCO self-assessments
             Implications for financial sector soundness and development

4. Follow-up from Assessments
   1. Authorities Response
      
   2. Technical Assistance

5. Enhancing the Assessments
              Improving Principles and assessment methodology
              Improving the process
              Securities markets and vulnerabilities
   
   
6. Conclusion

Text Tables

1. Completed or on-going IOSCO Principles assessments
2. IOSCO Assessments: Percentage shares of observance with the IOSCO Objectives ad Principles of Securities Regulation

Boxes

1. IOSCO Objectives and Principles of Securities Regulation