PwC's Managing upstream risk: Regulatory reform review - An asian perspective December 2013 | Page 27

2.16 Retail Structured Products

Update

IOSCO on 20 December 2013 published the
final report on Regulation of Retail Structured
Products, which provides a toolkit outlining
regulatory options that securities regulators
may find useful to regulate retail structured
products. The Toolkit has five sections with 15
regulatory tools that are organised along the
value chain of the retail structured product
market, from issuance to distribution to
investment. They cover:

The Toolkit has been developed with the
goal of enhancing investor protection by
providing securities regulators with possible
approaches to address certain concerns with
retail structured products. The proposed
tools are intended to allow for a wide range
of application and adaptation in different
jurisdictions, and regulators may choose to
implement some, all, or no