IOSCO Outsourcing Principles
IOSCO principles for regulated entities outsourcing tasks to service providers.
Sectors
This regulation may be summarised but not reproduced. Article text is available from the official source. Official source →
Articles (29)
Governance and Prudential Controls — ApplicabilityDue Diligence on Service ProvidersReporting and Disclosure — GovernanceWritten Contract with Service ProviderCapital, Liquidity and Risk — Process RequirementsBusiness Continuity and Information Protection ProceduresOutsourcing and Third Parties — Evidence and RecordsProtection of Confidential Information and DataSupervisory Cooperation — Testing and AssuranceConcentration Risk ManagementGovernance and Prudential Controls — ReportingRegulatory and Audit Access to InformationReporting and Disclosure — RemediationTermination Provisions and Exit StrategiesCapital, Liquidity and Risk — Third-Party ControlsScope of ApplicationOutsourcing and Third Parties — TrainingOutsourcingSupervisory Cooperation — Management ReviewResponsibility for OutsourcingPotential Risks and ChallengesAffiliatesOutsourcing on a cross-border basisSub-outsourcingConcentration of outsourcing tasksDue Diligence and Ongoing Monitoring of Service ProvidersEnhanced Due Diligence for Cross-Border OutsourcingSecurity and Confidentiality of Information – ImplementationRegulator and Auditor Access to Data and Records