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30 July 2015

IOSCO publishes Thematic Review of Implementation Progress in Regulation of DMI


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The report sets out the findings on the progress jurisdictions made in adopting legislation, regulation and policies in relation to derivatives market intermediaries in the six reform areas addressed in IOSCO’s 2012 report on International Standards for Derivative Market Intermediary Regulation.


The DMI Standards are for the regulation of market participants that are in the business of dealing, making a market or intermediating transactions in over-the-counter (OTC) derivatives. They were developed as part of the G20 commitment to reform the OTC derivatives market in response to the crisis.

The six reform areas are: Scope of regulatory reform — including the framework for regulation and definition of DMIs; Registration/licensing standards; Capital standards or other financial resources requirements for non-prudentially regulated DMIs; Business conduct standards; Business supervision standards; and Recordkeeping standards.

In general, the review found that participating jurisdictions have made significant progress in adopting legislation, regulation or policy in the areas covered by the DMI Standards.

Full press release



© IOSCO


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