Kingdom of the Netherlands-Netherlands: Publication of Financial Sector Assessment Program Documentation: Detailed Assessment of Observance on IOSCO Principles and Objectives of Securities Regulation

July 25, 2011

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Format: Chicago

Kingdom of the Netherlands-Netherlands: Publication of Financial Sector Assessment Program Documentation: Detailed Assessment of Observance on IOSCO Principles and Objectives of Securities Regulation, (USA: International Monetary Fund, 2011) accessed September 27, 2024

Summary

The Netherlands Authority for Financial Markets (AFM) has developed a robust supervisory framework, which exhibits high levels of implementation of the International Organization of Securities Commissions Principles. The AFM’s efforts are complemented by The NetherlandsCentral bank's (DNB) program of prudential supervision, which is reasonable and credible. Gaps in the legal framework for issuers, and on management of collective investment schemes, in the case of the DNB, have imposed limitations. Their ability to react in a swift manner to emerging risks in the financial sector is limited.

Subject: Auditing, Compliance audit, Financial institutions, Financial instruments, Financial regulation and supervision, Legal support in revenue administration, Public financial management (PFM), Revenue administration, Securities

Keywords: Audit firm, Auditing, Compliance audit, CR, Equity capital, Europe, Insider trading, ISCR, Legal support in revenue administration, Management company, Open-end fund, Securities

Publication Details

Pages:

99
Volume:

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DOI:

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Issue:

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Series:

Country Report No. 2011/204
Stock No:

1NLDEA2011006
ISBN:

9781462324408
ISSN:

1934-7685

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